Charles Spurgeon Thompson Ii
Professional Summary
Charles Spurgeon Thompson II, who also goes by Chuck Thompson II, Charles S Thompson, Charles Spurgeon Thompson Ii, Charles Spurgeon Thompson, is a registered financial advisor currently at NEXTIER DISTRIBUTION LLC located in Westmont, Illinois. Charles is registered as a RR (Registered Representative) and started their career in finance in 1994. Charles has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6 and Series 24...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Chuck Thompson Ii, Charles S Thompson, Charles Spurgeon Thompson Ii, Charles Spurgeon Thompson
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
32 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
FRONTEGRA ALTERNATIVE STRATEGIES, LLC | NEXTIER DISTRIBUTION LLC | FRONTEGRA STRATEGIES, LLC
Contact Information
Main Address
5 West Hargett St. Suite 706, Raleigh, NC 27601Mailing Address
5 West Hargett St. Suite 706, Raleigh, NC 27601Phone Number
(919) 646-4005Established
Delaware since 03/15/2005Firm Type
Limited Liability CompanyFiscal Year End
JuneFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1994About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Charles Spurgeon Thompson II's CRS (Customer Relationship Summary).
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