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MT

Michael E. Thompson

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CRD#: 1182334
MT

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.

Michael Edward Thompson was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 26 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.
1)APPOINTMENT WITH MULTIPLE CARRIERS;NOT INVESTMENT RELATED;3420 TORINGDON WAY,SUITE 100,CHARLOTTE,NC 28277;FIXED INSURANCE BUSINESS;BROKER;11/1994;10 HRS/MONTH;0 HRS DURING TRADING;FIXED INSURANCE SALES AND SERVICE 2)THOMPSON FINANCIAL GROUP INC;INVESTMENT RELATED;3420 TORINGDON WAY,SUITE 100,CHARLOTTE,NC 28277;INSURANCE AND INVESTMENTS;MANAGING PARTNER;11/1994;40 HRS/MONTH;4 HRS DURING TRADING;MANAGING THE BUSINESS 3)Thompson/Pratt Capital Management, LLC; investment related;3420 Toringdon Way, Suite 100,Charlotte,NC 28277;wealth management; managing partner;10/2018;160 hrs/month;6.5 hrs during trading; managing partner, OSJ, working with clients on investing assets, retirement planning, insurance 4)Exclusive Financial Resources LLC; investment related; 3420 Toringdon Way, Ste 100,Charlotte,NC 28277;financial services;representative;9/1/2018;0 hrs/month;0 hrs during trading; agent on existing cases 5)Ballantyne Insurance Group-rental property; not investment related; 3420 Toringdon Way, Suite 100, Charlotte, NC 28277; P/C insurance;tenant;4/2014;0 hrs/month;0 hrs during trading; landlord, company rents space from me

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 22, 2020 - March 11, 2025

ARKADIOS CAPITAL

BD
CRD#: 282710
Charlotte, NC
Past

May 21, 2020 - March 11, 2025

ARKADIOS WEALTH ADVISORS

RIA
CRD#: 288863
Hilton Head Island, SC
Past

June 17, 2014 - May 21, 2020

TRIAD ADVISORS LLC

RIA
CRD#: 25803
Charlotte, NC
Past

June 16, 2014 - May 21, 2020

TRIAD ADVISORS LLC

BD
CRD#: 25803
Charlotte, NC
Past

September 26, 2006 - June 18, 2014

NEW ENGLAND SECURITIES

RIA
CRD#: 615
CHARLOTTE, NC
Past

September 11, 2006 - June 18, 2014

NEW ENGLAND SECURITIES

BD
CRD#: 615
CHARLOTTE, NC
Past

June 29, 2004 - August 23, 2006

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
CHARLOTTE, NC
Past

December 19, 2003 - August 23, 2006

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
CHARLOTTE, NC
Past

December 31, 2001 - February 4, 2004

NEW ENGLAND SECURITIES

RIA
CRD#: 615
CHARLOTTE, NC
Past

February 3, 1987 - February 4, 2004

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

March 22, 1984 - February 9, 1987

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/19/1984
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: 3/17/1984
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/22/2005
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 5/23/2003
Investment Company Products/Variable Contracts Principal Examination

Current Firm

AC
ARKADIOS CAPITAL
ARKADIOS CAPITAL | MSY SECURITIES, LLC | ARKADIOS CAPITAL, LLC

CRD#: 282710 / SEC#: , 8-69729

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

Main Address
2827 Peachtree Rd Ne, Suite 510, Atlanta, GA 30305
Mailing Address
2827 Peachtree Rd Ne, Suite 510, Atlanta, GA 30305
Phone number
(404) 445-0035
Established
Georgia since 11/23/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 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#
ARKADIOS HOLDINGS, INC.OWNER
HARRISON, JOHN DORWARDEXECUTIVE DIRECTOR2361768
MILLER, NATALIE LANEFINOP, POO, PFO5627988
MILLICAN, DAVID YANCEY IVCEO2788060
SCHWARTZ, GARY STEVENCHIEF COMPLIANCE OFFICER2691699

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

ARKADIOS CAPITAL

CRD#: 282710

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