Ronald E. Thompson

FIRST LIBERTIES FINANCIAL

TAMPA, FL 33602

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CRD#: 2434367

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

Are you a "fiduciary"?

Aliases

Ronald E Thompson | Ronald Thompson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ronald E Thompson JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 28, 2014 - Present

FIRST LIBERTIES FINANCIAL

Office #1: 2915 N. Boulevard Suite A, Tampa, FL 33602

CRD#: 14432

TAMPA, FL

Past

August 1, 2013 - December 31, 2013

KIDRON CAPITAL SECURITIES LLC

CRD#: 149826

NEW YORK, NY

Past

January 3, 2011 - August 4, 2011

KNIGHT CAPITAL AMERICAS, L.P.

CRD#: 38599

GREENWICH, CT

Past

March 4, 2010 - January 3, 2011

KNIGHT LIBERTAS LLC

CRD#: 124790

GREENWICH, CT

Past

September 14, 2001 - June 20, 2008

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

STAMFORD, CT

Past

October 8, 1998 - July 9, 2001

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 30, 1995 - October 8, 1998

CITICORP SECURITIES, INC.

CRD#: 7474

NEW YORK, NY

Past

February 22, 1994 - January 10, 1995

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(12/11/2018)

Colorado
(12/11/2018)

Connecticut
(1/28/2014)

District of Columbia
(12/11/2018)

Florida
(12/11/2018)

Illinois
(1/28/2014)

Maryland
(12/11/2018)

New York
(1/28/2014)

Texas
(1/27/2021)

Exams

State Security Law Exam

Series 63

Date: 12/14/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 5/27/2014

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 2/19/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/28/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FIRST LIBERTIES FINANCIAL

FIRST LIBERTIES FINANCIAL | FIRST LIBERTIES SECURITIES,INC. | FIRST LIBERTIES SECURITIES, INC.

CRD#: 14432 / SEC#: , 8-30673

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

2915 N. Boulevard Suite A, Tampa, FL 33602

Mailing Address

2915 N. Boulevard Suite A, Tampa, FL 33602

Phone number

(917) 639-5451

Established

New York since 10/12/1983

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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.

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Ronald E. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ronald E Thompson JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

KIDRON CAPITAL SECURITIES LLC

KNIGHT CAPITAL AMERICAS, L.P.

KNIGHT LIBERTAS LLC

NATWEST MARKETS SECURITIES INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP SECURITIES, INC.

SALOMON BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/14/1994

SIE

Date: 10/1/2018

Series 79

Date: 5/27/2014

Series 7

Date: 2/19/1994

Series 24

Date: 4/28/1998

FINRA

Current Firm

FIRST LIBERTIES FINANCIAL

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FIRST LIBERTIES FINANCIAL

TRUST BUT VERIFY

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