George C. 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.
George Charles Thompson JR., who also goes by Chuck Charles Thompson, Chuck Thompson Jr, Chuck Thompson, George Charles Thompson Jr, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1987. George had worked at 8 firms and has passed the Series 65, Series 63, SIE, 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
January 23, 2018 - December 31, 2020
VAULTIS PRIVATE WEALTH LTD
July 18, 2014 - December 31, 2017
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
July 18, 2014 - December 31, 2017
G.F. INVESTMENT SERVICES, LLC
October 5, 2009 - July 29, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - July 29, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
July 17, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
May 8, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
July 31, 1993 - May 28, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - May 28, 2009
CITIGROUP GLOBAL MARKETS INC.
February 15, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
January 21, 1987 - February 15, 1988
E. F. HUTTON & COMPANY INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
VAULTIS PRIVATE WEALTH LTD
CRD#: 288118 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 99 |
| AUM (Assets Under Management) | $ 45,316,000 |
Red Flags
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