Kyle J. Thompson
Professional summary
Kyle Jay Thompson was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kyle is a previously registered financial advisor and started their career in finance in 1988. Prior to being barred, Kyle had worked at 9 firms, which includes THOMPSON CONSULTING INC., SPC, PARKLAND SECURITIES LLC, WALNUT STREET SECURITIES INC., OSAIC WEALTH INC., WMA SECURITIES INC., SECURIAN FINANCIAL SERVICES INC., CADARET GRANT & CO. INC., NYLIFE SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2003 - December 31, 2007
THOMPSON CONSULTING, INC.
November 13, 2002 - June 20, 2003
SPC
February 9, 2002 - August 6, 2004
PARKLAND SECURITIES, LLC
May 14, 1997 - February 9, 2002
WALNUT STREET SECURITIES, INC.
July 19, 1996 - May 8, 1997
OSAIC WEALTH, INC.
December 23, 1994 - August 5, 1996
WMA SECURITIES, INC.
February 16, 1994 - December 30, 1994
SECURIAN FINANCIAL SERVICES, INC.
November 12, 1992 - December 31, 1993
CADARET, GRANT & CO., INC.
August 6, 1991 - November 12, 1992
SECURIAN FINANCIAL SERVICES, INC.
February 24, 1988 - April 23, 1991
NYLIFE SECURITIES LLC
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
No current employment
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.
