Robert W. 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.
Robert William Thompson was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1989. Robert had worked at 19 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2024 - November 5, 2025
CROSSMARK GLOBAL INVESTMENTS, INC.
May 21, 2024 - November 5, 2025
CROSSMARK DISTRIBUTORS, INC.
June 1, 2020 - March 5, 2024
ANGEL OAK CAPITAL ADVISORS, LLC
February 21, 2020 - March 5, 2024
FORESIDE FUND SERVICES, LLC
August 6, 2014 - January 15, 2020
NUVEEN ASSET MANAGEMENT, LLC
April 11, 2014 - January 15, 2020
NUVEEN SECURITIES, LLC
December 3, 2012 - April 8, 2014
HARTFORD FUNDS DISTRIBUTORS, LLC
February 7, 2011 - December 3, 2012
GLOBAL ATLANTIC DISTRIBUTORS, LLC
September 23, 2009 - January 28, 2011
TRANSAMERICA INVESTMENT MANAGEMENT, LLC
May 29, 2007 - January 26, 2011
TRANSAMERICA CAPITAL, LLC
August 19, 2003 - May 22, 2007
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
August 9, 2001 - July 14, 2003
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
August 8, 1997 - August 9, 2001
VOYA FINANCIAL PARTNERS, LLC
March 4, 1996 - June 24, 1997
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
May 23, 1994 - August 5, 1994
INDEPENDENT FINANCIAL SECURITIES, INC.
July 7, 1993 - August 4, 1994
NATIONAL CITY INVESTMENTS CORPORATION
July 8, 1992 - July 20, 1993
UBS FINANCIAL SERVICES INC.
November 21, 1990 - July 14, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 18, 1989 - November 29, 1990
HIBBARD BROWN & CO., INC.
Primary Firm SEC Registration
CROSSMARK GLOBAL INVESTMENTS, INC.
CRD#: 113360 / SEC#: 801-17695
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
CROSSMARK GLOBAL INVESTMENTS, INC.
CRD#: 113360 / SEC#: 801-17695
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,314 |
| AUM (Assets Under Management) | $ 7,093,712,521 |
Red Flags
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