Curtis J. 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.
Curtis Jay Thompson was a registered financial professional .
Curtis is a previously registered financial professional and started their career in finance in 1990. Curtis had worked at 9 firms and has passed the Series 63, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2006 - June 25, 2012
STERNE, AGEE & LEACH, INC.
February 24, 2006 - March 15, 2006
MOORS & CABOT, INC.
May 17, 2002 - February 24, 2006
MOORS & CABOT, INC.
March 9, 2002 - April 10, 2002
RBC CAPITAL MARKETS, LLC
April 21, 1997 - March 9, 2002
TUCKER ANTHONY INCORPORATED
October 17, 1994 - May 14, 1997
RODMAN & RENSHAW INC.
October 5, 1993 - October 25, 1994
CIBC WORLD MARKETS CORP.
November 3, 1992 - July 15, 1993
THE CHICAGO CORPORATION
November 15, 1990 - February 28, 1991
PRUDENTIAL EQUITY GROUP, LLC
August 9, 1990 - October 17, 1990
GRUNTAL & CO., L.L.C.
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
STERNE, AGEE & LEACH, INC.
CRD#: 791 / SEC#: , 8-11754
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 6 |
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.
