Frederick L. Thomson
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.
Frederick Llewellyn Thomson III, who also goes by Rick Thomson, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1985. Frederick had worked at 1 firm and has passed the Series 63, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 1985 - November 20, 1989
THOMSON CAPITAL, INC.
State Registrations and Notice Filings
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Exams
Current Firm
THOMSON CAPITAL, INC.
CRD#: 15777 / SEC#: , 8-32724
Contact information
Documents
Red Flags
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