DT
Darrell L. Thompson
CANACCORD GENUITY WEALTH MANAGEMENT (USA)
Toronto, M5H 0B4
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CRD#: 1810299
DT
Professional summary
Darrell Loudette Thompson JR, who also goes by Darrell Loudette Thompson, Darrell Thompson, is a registered financial professional currently at CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC. .
Darrell is registered as a RR (Registered Representative) and started their career in finance in 1989. Darrell has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Darrell Loudette Thompson | Darrell Thompson
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.
CRS (Client Relationship Summary) - BD
Click below to view Darrell Loudette Thompson JR's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 5, 2013 - Present
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
Office #1: 2100 - 40 Temperance Street, Toronto, M5H 0B4RIA
BD
CRD#: 7449
Toronto,
Past
November 26, 2003 - December 5, 2013
RICHARDSON GMP (USA) CORP.
BD
CRD#: 104204
TORONTO, ONTARIO,
Past
July 12, 2002 - September 16, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
October 15, 2001 - July 11, 2002
RAYMOND JAMES (USA) LTD.
BD
CRD#: 25853
VANCOUVER, B.C.,
Past
August 27, 1998 - August 15, 2001
TD SECURITIES (USA) LLC
BD
CRD#: 18476
NEW YORK, NY
Past
October 26, 1994 - July 23, 1997
MIDLAND WALWYN CAPITAL CORPORATION
BD
CRD#: 2775
Past
July 3, 1990 - December 17, 1992
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
March 21, 1989 - July 9, 1990
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
March 21, 1989 - July 9, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
CANACCORD CAPITAL CORPORATION USA, INC. | NORAM INVESTMENT SERVICES, INC. | EQUITY SECURITIES TRADING CO., INC. | CANACCORD WEALTH MANAGEMENT (USA) INC. | CANACCORD WEALTH MANAGEMENT | CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC. | CANACCORD GENUITY WEALTH MANAGEMENT | CANACCORD FINANCIAL (USA) INC.
CRD#: 7449 / SEC#: 801-106809, 8-21025
RIA
Registered Investment Advisory firm - SEC (11/2/2015 Approved)Alaska
Registered Investment Advisory firm - SEC (3/22/2021 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/8/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/30/2020)
RR
Alaska(12/5/2013)
RR
Arizona(12/5/2013)
RR
California(12/5/2013)
RR
Colorado(12/5/2013)
RR
Connecticut(12/5/2013)
RR
Delaware(2/4/2022)
RR
District of Columbia(1/20/2023)
RR
Florida(12/5/2013)
RR
Georgia(12/9/2013)
RR
Idaho(5/3/2021)
RR
Illinois(12/5/2013)
RR
Indiana(11/9/2020)
RR
Kansas(12/5/2013)
RR
Kentucky(11/6/2020)
RR
Louisiana(3/5/2021)
RR
Maine(11/7/2024)
RR
Maryland(9/2/2025)
RR
Massachusetts(11/17/2015)
RR
Michigan(5/25/2016)
RR
Minnesota(5/18/2016)
RR
Montana(4/17/2018)
RR
Nebraska(9/30/2021)
RR
Nevada(5/18/2016)
RR
New Hampshire(2/23/2017)
RR
New Jersey(3/16/2015)
RR
New York(12/5/2013)
RR
North Carolina(3/11/2020)
RR
Oklahoma(6/22/2020)
RR
Oregon(12/5/2013)
RR
Pennsylvania(12/5/2013)
RR
Puerto Rico(8/10/2021)
RR
Rhode Island(1/6/2021)
RR
South Carolina(3/21/2023)
RR
Tennessee(4/25/2014)
RR
Texas(12/5/2013)
RR
Utah(10/18/2018)
RR
Vermont(1/31/2017)
RR
Virgin Islands(1/17/2024)
RR
Virginia(12/5/2013)
RR
Washington(12/5/2013)
RR
West Virginia(1/20/2023)
RR
Wisconsin(3/9/2020)
RR
Wyoming(12/5/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
CANACCORD CAPITAL CORPORATION USA, INC. | NORAM INVESTMENT SERVICES, INC. | EQUITY SECURITIES TRADING CO., INC. | CANACCORD WEALTH MANAGEMENT (USA) INC. | CANACCORD WEALTH MANAGEMENT | CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC. | CANACCORD GENUITY WEALTH MANAGEMENT | CANACCORD FINANCIAL (USA) INC.
CRD#: 7449 / SEC#: 801-106809, 8-21025
RIA
Registered Investment Advisory firm - SEC (11/2/2015 Approved)Alaska
Registered Investment Advisory firm - SEC (3/22/2021 Terminated)Maryland
Registered Investment Advisory firm - SEC (2/8/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
1133 Melville Street Suite 1100, Vancouver, Bc, V6E 4E5
Mailing Address
Pmb 2300 250 H Street, Blaine, WA 98230-4018
Phone number
(604) 643-7300
Established
Minnesota since 07/06/1976
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
31
SEC notice filing (12 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 94 |
| AUM (Assets Under Management) | $ 101,217,366 |
Disclosures
| Regulatory Event | 13 |
| 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.
Company Information
CANACCORD GENUITY WEALTH MANAGEMENT (USA) INC.
CRD#: 7449Toronto, M5H 0B4TRUST BUT VERIFY
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