Stephen R. 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.
Stephen Richard Thompson, who also goes by Steve Thompson, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1985. Stephen had worked at 11 firms and has passed the Series 65, Series 63, 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
October 10, 2013 - October 21, 2024
FIRST HORIZON ADVISORS, INC.
September 24, 2010 - October 10, 2013
FTB ADVISORS, INC.
January 19, 2010 - March 30, 2012
FIRST HORIZON ADVISORS, INC.
December 23, 2009 - October 21, 2024
FIRST HORIZON ADVISORS, INC.
February 13, 2007 - December 8, 2009
MORGAN KEEGAN & COMPANY, LLC
February 13, 2007 - December 8, 2009
MORGAN KEEGAN & COMPANY, LLC
July 10, 2003 - February 20, 2007
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
March 14, 2003 - July 31, 2003
AMSOUTH INVESTMENT SERVICES, INC.
December 7, 1999 - February 13, 2007
AMSOUTH INVESTMENT SERVICES, INC.
May 21, 1999 - October 7, 1999
PIONEER SECURITIES, INC.
November 2, 1998 - February 11, 2000
INVEST FINANCIAL CORPORATION
July 30, 1996 - November 25, 1998
PIONEER SECURITIES, INC.
April 18, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
April 18, 1990 - August 23, 1996
PRUCO SECURITIES, LLC.
May 14, 1988 - April 12, 1990
LEHMAN BROTHERS INC.
June 18, 1985 - May 14, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
FIRST HORIZON ADVISORS, INC.
CRD#: 17117 / SEC#: 801-78594, 8-35061
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
Current Firm
FIRST HORIZON ADVISORS, INC.
CRD#: 17117 / SEC#: 801-78594, 8-35061
Contact information
SEC notice filing (40 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,076 |
| AUM (Assets Under Management) | $ 13,617,534,771 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/15/2025 | ||
| 08/16/2024 | ||
| 12/21/2023 |
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.
