Robert A. 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 Anthony 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 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 9, Series 10, Series 14, Series 24, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 1996 - April 18, 2023
WILLIAM O'NEIL SECURITIES
March 8, 1995 - December 31, 1995
CAPITAL INSIGHT BROKERAGE
March 11, 1994 - November 8, 1994
CIBC WORLD MARKETS CORP.
November 21, 1989 - August 3, 1992
LEHMAN BROTHERS 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/8/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 1/21/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WILLIAM O'NEIL SECURITIES
CRD#: 894 / SEC#: , 8-11763
Contact information
FINRA licenses (51 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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