Michael R. Thompson
Professional summary
Michael Reid Thompson, who also goes by Michael M Thompson, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Chamblee, Georgia.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1986. Michael has worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Reid Thompson's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 14, 2009 - Present
ALLSTATE FINANCIAL SERVICES, LLC
Office #1: 4014 Clairmont Rd, Chamblee, GA 30341-3210December 10, 2007 - October 21, 2008
SYNOVUS SECURITIES, INC.
May 2, 2001 - October 10, 2002
FIRST ALLIED SECURITIES, INC.
November 17, 2000 - May 11, 2001
JOSEPHTHAL & CO., INC.
December 10, 1996 - November 17, 2000
SOUTHWICK INVESTMENTS, INC.
March 28, 1995 - November 7, 1996
FIDELITY NATIONAL CAPITAL INVESTORS, INC.
March 15, 1994 - October 10, 1994
J.P. MORGAN SECURITIES LLC
December 15, 1993 - February 10, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 23, 1990 - December 7, 1993
PRUDENTIAL EQUITY GROUP, LLC
February 1, 1989 - February 22, 1990
LEHMAN BROTHERS INC.
October 26, 1987 - July 27, 1988
CIBC WORLD MARKETS CORP.
November 21, 1986 - October 14, 1987
INVESTMENT CORPORATION OF VIRGINIA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/17/2009)
Exams
FINRA
Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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