Richard H. 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 Houghton Pix Thompson, who also goes by Richard H. P. Thompson, Richard Houghton Pixley Thompson, Richard Hp Thompson, Richard Thompson, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1993. Richard had worked at 13 firms and has passed the Series 66, 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
January 13, 2022 - May 2, 2022
FIDELITY BROKERAGE SERVICES LLC
May 27, 2021 - July 16, 2021
STRATCAP SECURITIES, LLC
January 23, 2020 - August 24, 2020
ALGORITHMIC INVESTMENT MODELS
September 2, 2014 - December 31, 2019
BEAUMONT FINANCIAL PARTNERS LLC
June 29, 2011 - June 7, 2013
REALTY CAPITAL SECURITIES, LLC
January 4, 2011 - January 21, 2011
GRUBB & ELLIS SECURITIES, INC.
April 20, 2006 - November 11, 2010
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.
September 19, 2005 - April 20, 2006
AMUNDI ASSET MANAGEMENT US, INC.
June 21, 2005 - November 11, 2010
AMUNDI DISTRIBUTOR US, INC.
January 19, 2000 - June 6, 2005
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
March 18, 1999 - August 23, 1999
IFMG SECURITIES, INC.
February 2, 1994 - October 5, 1998
JOSEPHTHAL & CO., INC.
April 20, 1993 - November 9, 1993
CONTINENTAL CAPITAL INVESTMENT SERVICES, 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
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 126 |
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.
