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CT

Charles S. Thompson

FRONTEGRA STRATEGIES
WESTMONT, IL 60559
Some features on this profile are disabled
CRD#: 2547107
CT

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 professional currently at FRONTEGRA STRATEGIES, 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 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chuck Thompson Ii | Charles S Thompson | Charles Spurgeon Thompson Ii | Charles Spurgeon 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 Charles Spurgeon Thompson II'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

March 18, 2024 - Present

FRONTEGRA STRATEGIES, LLC

Office #1: 999 Oakmont Plaza Drive, Suite 600, Westmont, IL 60559
BD
CRD#: 137529
WESTMONT, IL
Past

July 16, 2020 - April 10, 2023

FORESIDE FINANCIAL SERVICES, LLC

BD
CRD#: 148477
Chicago, IL
Past

January 25, 2019 - March 2, 2020

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

March 8, 2018 - March 2, 2020

SNOW CAPITAL MANAGEMENT, L.P.

RIA
CRD#: 106516
SEWICKLEY, PA
Past

July 11, 2003 - May 30, 2017

JANUS HENDERSON INVESTORS

RIA
CRD#: 107300
CHICAGO, IL
Past

February 19, 2002 - May 30, 2017

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
CHICAGO, IL
Past

October 26, 1994 - January 22, 2002

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
HOUSTON, TX

State Registrations and Notice Filings

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

RR
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

RR
Alabama
(3/18/2024)
RR
Alaska
(3/18/2024)
RR
Arizona
(3/18/2024)
RR
Arkansas
(3/18/2024)
RR
California
(3/18/2024)
RR
Colorado
(3/18/2024)
RR
Connecticut
(3/18/2024)
RR
Delaware
(3/18/2024)
RR
District of Columbia
(3/18/2024)
RR
Florida
(3/18/2024)
RR
Georgia
(3/18/2024)
RR
Hawaii
(3/18/2024)
RR
Idaho
(3/18/2024)
RR
Illinois
(3/18/2024)
RR
Indiana
(3/18/2024)
RR
Iowa
(3/18/2024)
RR
Kansas
(3/18/2024)
RR
Kentucky
(3/18/2024)
RR
Louisiana
(3/18/2024)
RR
Maine
(3/18/2024)
RR
Maryland
(3/18/2024)
RR
Massachusetts
(3/18/2024)
RR
Michigan
(3/18/2024)
RR
Minnesota
(3/18/2024)
RR
Mississippi
(3/18/2024)
RR
Missouri
(3/18/2024)
RR
Montana
(3/18/2024)
RR
Nebraska
(3/18/2024)
RR
Nevada
(3/18/2024)
RR
New Hampshire
(3/18/2024)
RR
New Jersey
(3/18/2024)
RR
New Mexico
(3/18/2024)
RR
New York
(3/18/2024)
RR
North Carolina
(3/18/2024)
RR
North Dakota
(3/18/2024)
RR
Ohio
(3/18/2024)
RR
Oklahoma
(3/18/2024)
RR
Oregon
(3/18/2024)
RR
Pennsylvania
(3/18/2024)
RR
Rhode Island
(3/18/2024)
RR
South Carolina
(3/18/2024)
RR
South Dakota
(3/18/2024)
RR
Texas
(3/18/2024)
RR
Utah
(3/18/2024)
RR
Vermont
(3/18/2024)
RR
Virginia
(3/18/2024)
RR
Washington
(3/18/2024)
RR
West Virginia
(3/18/2024)
RR
Wisconsin
(3/18/2024)
RR
Wyoming
(3/18/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/23/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/17/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/30/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 7/11/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 5/15/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/25/1994
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/2/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FRONTEGRA STRATEGIES, LLC
FRONTEGRA ALTERNATIVE STRATEGIES, LLC | FRONTEGRA STRATEGIES, LLC

CRD#: 137529 / SEC#: , 8-67094

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
999 Oakmont Plaza Drive, Suite 600, Westmont, IL 60559
Mailing Address
999 Oakmont Plaza Drive, Suite 600, Westmont, IL 60559
Phone number
(847) 509-9860
Established
Delaware since 03/15/2005
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FRONTIER NORTH AMERICA HOLDINGS INC.HOLDING COMPANY
JONES, BENJAMIN DECATORCHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR, GENERAL SECURITIES PRINCIPAL, OWNER4206990
KINZER, CAROL ANNFINOP, PFO, POO4519471
THOMPSON, CHARLES SPURGEON IIPRESIDENT, GENERAL SECURITIES PRINCIPAL, OWNER2547107

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.

Company Information

FRONTEGRA STRATEGIES, LLC

CRD#: 137529Westmont, IL 60559

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