Dennis L. 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.
Dennis Lee Thompson II was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1985. Dennis had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6 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
January 28, 1999 - July 28, 2003
INVESTORS CAPITAL CORP.
April 7, 1997 - December 22, 1998
WMA SECURITIES, INC.
January 9, 1995 - April 3, 1997
CETERA ADVISORS LLC
February 7, 1992 - January 30, 1995
LPL FINANCIAL LLC
May 25, 1988 - January 2, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 11, 1985 - August 5, 1988
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
Red Flags
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