Nicholas P. Thompson
Professional summary
Nicholas Patrick Thompson was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Nicholas is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Nicholas had worked at 7 firms, which includes VFINANCE INVESTMENTS INC, SOMERSET FINANCIAL GROUP INC., AUERBACH POLLAK & RICHARDSON INC., PRINCETON SECURITIES CORPORATION, JOSEPHTHAL & CO. INC., JJC SECURITIES CO. INC., VFS SECURITIES CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 14, 2002 - August 8, 2006
VFINANCE INVESTMENTS, INC
March 29, 1999 - June 14, 2002
SOMERSET FINANCIAL GROUP, INC.
December 11, 1996 - April 1, 1999
AUERBACH, POLLAK & RICHARDSON INC.
October 3, 1994 - December 10, 1996
PRINCETON SECURITIES CORPORATION
September 25, 1991 - October 11, 1994
JOSEPHTHAL & CO., INC.
October 17, 1990 - October 22, 1991
JJC SECURITIES CO., INC.
January 19, 1988 - October 19, 1990
VFS SECURITIES CORP.
State Registrations and Notice Filings
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Exams
Series 55
Date: 12/11/2002
Limited Representative-Equity Trader ExamCurrent Firm
VFINANCE INVESTMENTS, INC
CRD#: 44962 / SEC#: , 8-50898
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VFINANCE INVESTMENTS HOLDINGS | SHAREHOLDER | |
| GROENEVELD, WILLIAM LAWRENCE | HEAD TRADER, PRESIDENT, CEO | 2127534 |
| GROENEVELD, WILLIAM LAWRENCE | DIRECTOR | 2127534 |
| JOHNSON, KAY ALISON | CCO | 1583193 |
| KNOPF, FRED N | GENERAL COUNSEL | 6390806 |
| MULLEN, MICHAEL ANTHONY | DIRECTOR | 1428116 |
| WATSON, NATALIA TOVAR | FINOP/CFO | 4782735 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 6 |
Red Flags
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