Thomas E. 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.
Thomas Elvie Thompson was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 8 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2013 - September 30, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 3, 2013 - June 6, 2013
SPENCER EDWARDS, INC.
January 10, 2012 - December 17, 2012
WORLD TRADE FINANCIAL CORPORATION
April 25, 2007 - November 2, 2011
CAPITAL GROWTH RESOURCES
November 30, 2006 - April 18, 2007
OSAIC FA, INC.
October 12, 2006 - April 18, 2007
OSAIC FA, INC.
November 10, 1998 - October 3, 2006
CAPITAL GROWTH RESOURCES
December 1, 1994 - September 25, 1998
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
April 7, 1994 - December 7, 1994
TORREY PINES SECURITIES, INC.
March 23, 1987 - October 26, 1993
PFS INVESTMENTS 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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
