James T. 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.
James Taylor Thompson JR, who also goes by J T Thompson, James Taylor Thompson, Jt Thompson Jr, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24, Series 53 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2009 - January 2, 2024
AQUILA DISTRIBUTORS LLC
March 16, 2001 - September 2, 2009
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
October 26, 2000 - August 31, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
May 4, 1999 - December 20, 2000
WELLS FARGO SECURITIES, LLC
March 6, 1998 - July 1, 1999
FIRST SECURITY CAPITAL MARKETS, INC.
September 17, 1997 - July 1, 1999
FIRST SECURITY INVESTOR SERVICES, INC.
March 15, 1993 - September 22, 1997
METCAP SECURITIES, LLC
July 20, 1987 - August 5, 1991
WEDBUSH SECURITIES INC.
July 1, 1985 - June 3, 1988
FINANCIAL MARKET SECURITIES
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
AQUILA DISTRIBUTORS LLC
CRD#: 1706 / SEC#: , 8-13173
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AQUILA MANAGEMENT CORPORATION | SHAREHOLDER | |
| DIMAGGIO, JOSEPH PAUL | TREASURER | 1359940 |
| FILLMORE, RANDALL SCOTT | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4188259 |
| HERRMANN, CONRAD BEADLE | MANAGER | 1370319 |
| HERRMANN, DIANA PARSONS | MANAGER | 2913698 |
| OBRIEN, PAUL GREGORY | PRESIDENT, FINANCIAL OPERATIONS PRINCIPAL & OPERATIONS PROFESSIONAL | 3129605 |
| ROSE, PAMELA CAROLINE MS. | SECRETARY | 1559550 |
| SARKANY, THOMAS THOMAS | MANAGER | 1024285 |
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.
