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Albert J. Thompson

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CRD#: 1836611
AT

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.

Albert Joseph Thompson was a registered financial professional .

Albert is a previously registered financial professional and started their career in finance in 1993. Albert had worked at 12 firms and has passed the Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 22, 2012 - May 6, 2013

CV BROKERAGE, INC

BD
CRD#: 462
RED BANK, NJ
Past

June 3, 2011 - August 21, 2012

JACKSON SECURITIES LLC

BD
CRD#: 19897
RED BANK, NJ
Past

July 26, 2010 - November 9, 2010

RAYMOND C. FORBES & CO., INC.

BD
CRD#: 33090
NEW YORK, NY
Past

December 1, 2008 - April 17, 2009

GAR WOOD SECURITIES, LLC

BD
CRD#: 138033
NEW YORK, NY
Past

June 12, 2008 - November 17, 2008

LIGHTHOUSE FINANCIAL GROUP, LLC

BD
CRD#: 103734
NEW YORK, NY
Past

October 5, 2006 - June 6, 2008

PULSE TRADING, INC.

BD
CRD#: 104022
NEW YORK, NY
Past

May 11, 2005 - December 21, 2005

EXGEN SECURITIES LLC

BD
CRD#: 127472
NEW YORK, NY
Past

February 26, 2004 - September 27, 2004

MULTITRADE SECURITIES LLC

BD
CRD#: 47485
NEW YORK, NY
Past

November 20, 2003 - February 27, 2004

SANDERS MORRIS LLC

BD
CRD#: 20580
HOUSTON, TX
Past

August 16, 2000 - January 31, 2002

INSTINET, LLC

BD
CRD#: 42886
NEW YORK, NY
Past

August 2, 2000 - September 6, 2000

REUTERS C CORPORATION

BD
CRD#: 14408
NEW YORK, NY
Past

July 29, 1993 - January 31, 2002

LYNCH, JONES & RYAN LLC

BD
CRD#: 3198
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/22/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/28/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/7/1995
General Securities Principal Examination

Current Firm

CB
CV BROKERAGE, INC
CV BROKERAGE INC | JAMES C. BUTTERFIELD INC. | CV BROKERAGE, INC

CRD#: 462 / SEC#: , 8-12429

BD
Cancelled by SEC on 09/28/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Michigan since 05/25/1965
Firm type
Corporation
Fiscal year end
December
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CV INVESTMENTS, LLCMEMBER
JUILIANO, COLLEEN JANEFINOP4818898
MCCORMACK, WILLIAM THOMASCEO, CCO, COO2690069

Disclosures

Regulatory Event10

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

CV BROKERAGE, INC

CRD#: 462

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