William H. Thompson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Harvey Thompson JR, who also goes by Bill Thompson, William Harvey Jr Thompson, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2018 - December 31, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 16, 2018 - December 31, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 18, 2011 - January 29, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 18, 2011 - January 29, 2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 28, 2005 - February 18, 2011
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - February 18, 2011
VOYA FINANCIAL ADVISORS, INC.
January 31, 2003 - April 29, 2003
LOCUST STREET SECURITIES, INC.
July 5, 2001 - July 31, 2002
VESTAX SECURITIES CORPORATION
October 18, 1986 - January 1, 2004
LOCUST STREET SECURITIES, INC.
April 28, 1983 - October 27, 1986
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
