Joe D. 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.
Joe Dean Thompson was a registered financial professional .
Joe is a previously registered financial professional and started their career in finance in 1985. Joe had worked at 3 firms and has passed the Series 63, Series 3 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
March 3, 1987 - November 17, 1987
WINDSOR EQUITY CORPORATION
January 5, 1987 - February 24, 1987
HYDRA SECURITIES CORPORATION
July 29, 1985 - November 21, 1986
BLUNT ELLIS & LOEWI INCORPORATED
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
WINDSOR EQUITY CORPORATION
CRD#: 13093 / SEC#: , 8-28610
Contact information
Documents
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.
