Mark A. Thomson
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.
Mark Allan Thomson, who also goes by Mark Allan Thompson, Mark Allen Thompson, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1986. Mark had worked at 9 firms and has passed the 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
September 6, 2006 - August 8, 2012
AUGUSTAR DISTRIBUTORS, INC.
May 17, 2006 - July 5, 2006
ASHTON STEWART & CO., INC.
March 17, 2005 - April 21, 2006
TOUCHSTONE SECURITIES, INC.
August 12, 2002 - November 22, 2004
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
April 15, 1998 - August 8, 2002
CONSECO EQUITY SALES, INC.
March 22, 1996 - March 23, 1998
LASALLE FINANCIAL SERVICES, INC.
April 24, 1993 - October 7, 1994
IVY DISTRIBUTORS, INC.
April 18, 1990 - December 17, 1992
KEMPER FINANCIAL SERVICES, INC.
August 26, 1987 - December 17, 1992
KEMPER FINANCIAL SERVICES, INC.
December 26, 1986 - April 27, 1987
BLINDER, ROBINSON & CO., INC.
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
AUGUSTAR DISTRIBUTORS, INC.
CRD#: 41081 / SEC#: , 8-49296
Contact information
FINRA licenses (42 States and Territories)
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.
