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Kyle Jay Thompson

CRD# 1765832·Registered 1988 - 2007
Barred: Kyle Jay Thompson was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Kyle Jay Thompson was a registered financial advisor. Kyle was a previously registered financial advisor and started their career in finance 1988 - 2007. Kyle had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

38 years in the financial services industry

Current & Past Employments

THOMPSON CONSULTING, INC.·CRD# 125371
RIA
Cottonwood Heights, UT
July 16, 2003 - December 31, 2007
SPC·CRD# 110692
RIA
Salt Lake City, UT
November 13, 2002 - June 20, 2003
PARKLAND SECURITIES, LLC·CRD# 115368
BD
Ann Arbor, MI
February 9, 2002 - August 6, 2004
WALNUT STREET SECURITIES, INC.·CRD# 15840
BD
El Segundo, CA
May 14, 1997 - February 9, 2002
OSAIC WEALTH, INC.·CRD# 23131
BD
Scottsdale, AZ
July 19, 1996 - May 8, 1997
WMA SECURITIES, INC.·CRD# 32625
BD
Duluth, GA
December 23, 1994 - August 5, 1996
SECURIAN FINANCIAL SERVICES, INC.·CRD# 15296
BD
St. Paul, MN
February 16, 1994 - December 30, 1994
CADARET, GRANT & CO., INC.·CRD# 10641
BD
Syracuse, NY
November 12, 1992 - December 31, 1993
SECURIAN FINANCIAL SERVICES, INC.·CRD# 15296
BD
St. Paul, MN
August 6, 1991 - November 12, 1992
NYLIFE SECURITIES LLC·CRD# 5167
BD
New York, NY
February 24, 1988 - April 23, 1991

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Current Firm

No current employment

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed May 1999About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1988About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Feb 1988About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed May 1998About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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