Ronald E. Thompson
Professional summary
Ronald E Thompson JR, who also goes by Ronald E Thompson, Ronald Thompson, is a registered financial professional currently at FIRST LIBERTIES FINANCIAL located in Tampa, Florida.
Ronald is registered as a RR (Registered Representative) and started their career in finance in 1994. Ronald has worked at 8 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ronald E Thompson JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 28, 2014 - Present
FIRST LIBERTIES FINANCIAL
Office #1: 2915 N. Boulevard Suite A, Tampa, FL 33602August 1, 2013 - December 31, 2013
KIDRON CAPITAL SECURITIES LLC
January 3, 2011 - August 4, 2011
KNIGHT CAPITAL AMERICAS, L.P.
March 4, 2010 - January 3, 2011
KNIGHT LIBERTAS LLC
September 14, 2001 - June 20, 2008
NATWEST MARKETS SECURITIES INC.
October 8, 1998 - July 9, 2001
CITIGROUP GLOBAL MARKETS INC.
January 30, 1995 - October 8, 1998
CITICORP SECURITIES, INC.
February 22, 1994 - January 10, 1995
SALOMON 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
(1/28/2014)
Exams
FINRA
Current Firm
FIRST LIBERTIES FINANCIAL
CRD#: 14432 / SEC#: , 8-30673
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PELION FINANCIAL GROUP, INC. | OWNER | |
| BERGMAN, HILARY GUY | DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER | 1834738 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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