Gary C. 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.
Gary Curtis Thompson, who also goes by Gary Thompson, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1996. Gary had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2015 - January 14, 2022
SMEAD FUNDS DISTRIBUTORS, LLC
September 7, 2011 - June 1, 2015
FIRST DOMINION CAPITAL CORP.
April 26, 2004 - July 12, 2011
SG AMERICAS SECURITIES, LLC
October 10, 2000 - April 26, 2004
COWEN AND COMPANY
October 28, 1997 - August 2, 2000
BNP PARIBAS SECURITIES CORP.
December 17, 1996 - February 11, 1999
COMMERZ MARKETS LLC
October 2, 1996 - December 17, 1996
KLEINWORT BENSON NORTH AMERICA 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
Series 55
Date: 10/1/1998
Limited Representative-Equity Trader ExamCurrent Firm
SMEAD FUNDS DISTRIBUTORS, LLC
CRD#: 173734 / SEC#: , 8-69550
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| TAYLOR, GORDON BURDETTE | CHIEF COMPLIANCE OFFICER AND VICE PRESIDENT | 2990648 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
