David H. Thompson
Professional summary
David Hayward Thompson is a registered financial professional currently at THE O.N. EQUITY SALES COMPANY located in Lee's Summit, Missouri.
David is registered as a RR (Registered Representative) and started their career in finance in 1984. David has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Hayward Thompson's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 30, 2021 - Present
THE O.N. EQUITY SALES COMPANY
Office #1: 2641 Ne Mcbaine Drive, Lee's Summit, MO 64064December 15, 2014 - April 8, 2021
LPL FINANCIAL LLC
February 27, 2006 - December 22, 2014
OPPENHEIMER & CO. INC.
March 24, 2005 - February 28, 2006
STERN BROTHERS & CO.
November 6, 1997 - April 15, 2005
UBS FINANCIAL SERVICES INC.
April 18, 1988 - April 15, 2005
UBS FINANCIAL SERVICES INC.
December 2, 1987 - April 19, 1988
RANSON & COMPANY, INC.
May 31, 1984 - February 18, 1986
DICKINSON & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/28/2021)
(3/30/2021)
(5/8/2024)
(3/31/2021)
(5/12/2021)
Exams
FINRA
Current Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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