Paul 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.
Paul Thompson III, who also goes by Tim Thompson, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1983. Paul had worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2012 - October 30, 2024
GLC SECURITIES, LLC
November 16, 2009 - December 9, 2011
B. RILEY SECURITIES, INC.
November 3, 2000 - March 1, 2002
CREDIT SUISSE SECURITIES (USA) LLC
November 30, 1994 - March 1, 2002
PERSHING LLC
February 4, 1983 - May 28, 1987
CREDIT SUISSE SECURITIES (USA) LLC
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
GLC SECURITIES, LLC
CRD#: 153581 / SEC#: , 8-68557
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GLC ADVISORS & CO. HOLDINGS, LLC | OWNER | |
| BENNINGER, THOMAS MICHAEL | PRINCIPAL | |
| HAN, ABRAHAM T | PRINCIPAL | |
| KINZER, CAROL ANN | FINOP/CFO | 4519471 |
| REYNERTSON, JON SOREN | PRINCIPAL/CEO/CCO |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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