David P. 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.
David Patrick Thompson was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1988. David had worked at 7 firms and has passed the Series 63, SIE, Series 7 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
October 25, 2019 - February 6, 2023
AVANTAX ADVISORY SERVICES
October 25, 2019 - February 6, 2023
AVANTAX INVESTMENT SERVICES, INC.
September 15, 2004 - October 25, 2019
1ST GLOBAL ADVISORS INC
October 3, 1996 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
June 27, 1995 - November 2, 2010
FDT WEALTHCARE, INC.
June 18, 1989 - December 31, 1994
SUNAMERICA SECURITIES, INC.
November 21, 1988 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, 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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
