Jerry C. 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.
Jerry Christopher Thompson, who also goes by Chris Thompson, was a registered financial professional .
Jerry is a previously registered financial professional and started their career in finance in 1995. Jerry had worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2015 - October 4, 2023
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC
March 9, 2010 - June 15, 2026
LPL FINANCIAL LLC
December 16, 2009 - June 15, 2026
LPL FINANCIAL LLC
March 4, 2008 - December 16, 2009
LPL FINANCIAL LLC
July 26, 2004 - March 4, 2008
IFMG SECURITIES, INC.
August 30, 1999 - August 4, 2004
CETERA WEALTH SERVICES, LLC
October 7, 1998 - September 2, 1999
CONSECO SECURITIES, INC.
April 23, 1998 - September 29, 1998
NATCITY INVESTMENTS, INC.
September 20, 1996 - September 30, 1998
NATCITY INSURANCE SERVICES, INC.
June 22, 1995 - September 24, 1996
WOODBURY FINANCIAL SERVICES, 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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC
CRD#: 170845 / SEC#: , 8-69435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL CAPITAL PARTNERS, INC | OWNER | |
| KEADY, LAURA ANN | CFO / PFO / POO | 6516152 |
| LANK, STEPHEN JOHN-PATRICK | PRESIDENT | 2997028 |
| LIDDINGTON, JAMES | CHIEF AML OFFICER / MUNICIPAL SECURITIES PRINCIPAL | 4326825 |
| MILLER, EDWARD BRUCE | CEO | 1680275 |
| RICH, DAVID SEAN | CCO | |
| STIEVE, MARK ALAN | SVP | 1521386 |
| THOMPSON, JERRY CHRISTOPHER | VP | 2621099 |
Disclosures
| Arbitration | 1 |
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
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC
CRD#: 170845TRUST BUT VERIFY
Monitor Jerry Thompson
Get automatic monthly alerts on:
