Thomas J. 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.
Thomas Joseph Thompson JR, who also goes by Thomas J Thompson Jr, Tom Thompson, Tommy Thompson Jr, Tommy Thompson, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 12 firms and has passed the Series 66, Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2009 - December 31, 2013
VOYA FINANCIAL ADVISORS, INC.
October 27, 2009 - December 31, 2013
VOYA FINANCIAL ADVISORS, INC.
October 23, 2009 - October 26, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - October 26, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 25, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 21, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 2, 2003 - December 31, 2005
DIRECTED SERVICES LLC
October 22, 2002 - November 25, 2003
EDWARD JONES
January 24, 2002 - June 12, 2002
UBS ASSET MANAGEMENT (US) INC.
October 31, 1996 - February 20, 2002
UBS FINANCIAL SERVICES INC.
October 18, 1994 - April 2, 1997
UBS ASSET MANAGEMENT (US) INC.
May 12, 1993 - December 21, 1993
OCC DISTRIBUTORS LLC
February 14, 1989 - April 24, 1993
EATON VANCE DISTRIBUTORS, INC.
December 2, 1988 - January 30, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
July 30, 1986 - June 27, 1988
FITZGERALD, DEARMAN & ROBERTS, INC.
February 25, 1985 - July 11, 1986
PATTERSON ICENOGLE, INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
