Timothy S. 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.
Timothy Shawn Thompson, who also goes by Timothy S Thompson, Shawn Thompson, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1994. Timothy had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 8, 2018 - September 11, 2019
TD AMERITRADE, INC.
February 26, 2018 - September 11, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - September 11, 2019
TD AMERITRADE, INC.
January 5, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
August 19, 2010 - February 26, 2018
SCOTTRADE, INC.
April 25, 2006 - January 7, 2009
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 14, 2003 - January 7, 2009
TD AMERITRADE, INC.
February 26, 1999 - January 7, 2009
TD AMERITRADE, INC.
July 10, 1998 - December 10, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 11, 1994 - March 31, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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