Russell L. Thompson
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.
Russell Lee Thompson was a registered financial professional .
Russell is a previously registered financial professional and started their career in finance in 1990. Russell had worked at 6 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2003 - September 28, 2012
THE LEADERS GROUP, INC.
August 15, 1994 - September 25, 2003
ADVANTAGE CAPITAL CORPORATION
October 18, 1993 - August 15, 1994
TOWER SQUARE SECURITIES, INC.
October 15, 1993 - October 13, 1998
VOYA FINANCIAL PARTNERS, LLC
October 2, 1992 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
January 26, 1990 - September 14, 1992
F & G SECURITIES, INC.
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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