Carroll D. Thompkins
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.
Carroll Davis Thompkins, who also goes by Carrolls Davis Thompkins, was a registered financial professional .
Carroll is a previously registered financial professional and started their career in finance in 1990. Carroll had worked at 14 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 20, 2004 - September 21, 2004
GUNNALLEN FINANCIAL, INC
May 16, 2003 - December 31, 2003
SOURCE CAPITAL GROUP, INC.
December 14, 2002 - March 18, 2003
CHICAGO INVESTMENT GROUP, LLC
January 23, 2002 - November 1, 2002
DIRKS & COMPANY, INC.
November 21, 2001 - January 23, 2002
VANGUARD CAPITAL
February 8, 2001 - October 22, 2001
AUERBACH, POLLAK & RICHARDSON INC.
May 24, 1999 - February 1, 2001
DIRKS & COMPANY, INC.
August 14, 1998 - January 12, 1999
ARJENT LTD.
November 6, 1997 - July 14, 1998
ROBERT THOMAS SECURITIES, INC
July 30, 1996 - September 23, 1997
ROAN CAPITAL PARTNERS L.P.
August 11, 1995 - July 11, 1996
A.S. GOLDMEN & CO., INC.
May 11, 1994 - February 8, 1995
J.P. MORGAN SECURITIES LLC
December 7, 1992 - April 26, 1994
FAB SECURITIES OF AMERICA, INC.
February 6, 1992 - November 27, 1992
LADENBURG THALMANN & CO. INC.
July 31, 1990 - February 5, 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
Current Firm
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
