Richard 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.
Richard Arlyn Thompson was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1990. Richard had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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
April 5, 2013 - January 11, 2016
PRINCIPAL SECURITIES, INC.
April 2, 2013 - January 11, 2016
PRINCIPAL SECURITIES, INC.
June 8, 2011 - May 30, 2012
FIRST COMMAND BROKERAGE SERVICES, INC.
June 8, 2011 - May 30, 2012
FIRST COMMAND BROKERAGE SERVICES, INC.
November 6, 2009 - June 1, 2011
PRINCIPAL SECURITIES, INC.
November 5, 2009 - June 1, 2011
PRINCIPAL SECURITIES, INC.
September 1, 2004 - November 6, 2009
WADDELL & REED
August 4, 2004 - November 6, 2009
WADDELL & REED
September 8, 2000 - June 15, 2004
FARMERS FINANCIAL SOLUTIONS, LLC
April 13, 2000 - September 8, 2000
INVESTORS BROKERAGE SERVICES, INC.
January 7, 1998 - December 31, 1998
WMA SECURITIES, INC.
April 10, 1997 - December 31, 1997
WMA SECURITIES, INC.
May 28, 1996 - June 27, 1996
METROPOLITAN INVESTMENT SECURITIES, INC.
April 19, 1995 - October 25, 1995
ESSEX NATIONAL SECURITIES, LLC
March 8, 1994 - December 15, 1994
UNITED HERITAGE FINANCIAL SERVICES, INC.
March 20, 1992 - July 15, 1992
THE O.N. EQUITY SALES COMPANY
June 14, 1990 - November 26, 1991
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
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
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
