Michael 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.
Michael Richard Thompson was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1985. Michael had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 6, 2015 - May 9, 2016
FORESIDE FUND SERVICES, LLC
June 15, 2010 - October 14, 2014
FORESIDE FINANCIAL SERVICES, LLC
June 22, 2006 - November 2, 2009
QUASAR DISTRIBUTORS, LLC
June 16, 2004 - November 18, 2005
IDS LIFE INSURANCE COMPANY
June 16, 2004 - November 18, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
January 25, 2002 - April 9, 2004
OLD MUTUAL INVESTMENT PARTNERS
December 16, 1991 - April 7, 2000
SEI INVESTMENTS DISTRIBUTION CO.
November 20, 1987 - June 10, 1991
SEI INVESTMENTS DISTRIBUTION CO.
February 7, 1985 - January 29, 1987
FIDELITY DISTRIBUTORS CORPORATION
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
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
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