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LT

Lilliam M. Thompson

ICD SECURITIES
Solana Beach, CA 92075
Some features on this profile are disabled
CRD#: 1092277
LT

Professional summary

Lilliam Margarita Thompson is a registered financial professional currently at ICD SECURITIES INC. located in Solana Beach, California.

Lilliam is registered as a RR (Registered Representative) and started their career in finance in 1985. Lilliam has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lilliam Margarita Thompson's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 13, 2011 - Present

ICD SECURITIES INC.

Office #1: 323 North Highway 101, Solana Beach, CA 92075
BD
CRD#: 134910
Solana Beach, CA
Past

June 30, 2006 - June 15, 2011

INDEPENDENT FINANCIAL GROUP, LLC

BD
CRD#: 7717
SAN DIEGO, CA
Past

December 31, 1997 - July 3, 2006

LPL FINANCIAL LLC

RIA
CRD#: 6413
SAN DIEGO, CA
Past

May 9, 1988 - July 3, 2006

LPL FINANCIAL LLC

BD
CRD#: 6413
SAN DIEGO, CA
Past

October 23, 1985 - May 19, 1988

PROFESSIONAL ASSET SECURITIES, INC.

BD
CRD#: 13065

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(6/13/2011)

Exams

State Security Law Exam
RR
Series 63
Date: 5/1/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/1985
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

IS
ICD SECURITIES INC.
ICD SECURITIES INC.

CRD#: 134910 / SEC#: , 8-66870

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
7301 Sw 57th Court Suite 400, Miami, FL 33143
Mailing Address
7301 Sw 57th Court Suite 400, Miami, FL 33143
Phone number
(305) 669-5168
Established
Florida since 11/19/2004
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ARMA, VINCENT JOSEPHPRESIDENT/ DIRECTOR1531677
GALLELI, RACHEL ANNPART-OWNER4957712
BENGHIAT, RITA MARIASHAREHOLDER6230732
BENGHIAT, TEDCCO/PRINCIPAL/FINOP/REGISTERED REPRESENTATIVE/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER1113384

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.

Company Information

ICD SECURITIES INC.

CRD#: 134910Solana Beach, CA 92075

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