Peter J. 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.
Peter J Thompson, who also goes by Peter John Thompson, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1996. Peter had worked at 5 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2014 - September 12, 2016
BROKERBANK SECURITIES, INC.
April 19, 2011 - March 16, 2012
BROKERBANK SECURITIES, INC.
March 15, 2010 - September 30, 2010
CANACCORD GENUITY SECURITIES LLC
September 8, 2005 - May 17, 2010
PALI CAPITAL, INC.
May 7, 1998 - October 2, 1998
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
June 3, 1996 - September 26, 1997
PRINCIPAL FINANCIAL SECURITIES,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 55
Date: 10/3/2005
Limited Representative-Equity Trader ExamCurrent Firm
BROKERBANK SECURITIES, INC.
CRD#: 130116 / SEC#: , 8-66310
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WRIGHT, PHILIP PAUL | CEO AND CHIEF COMPLIANCE OFFICER | 2453688 |
| COMMUNITYLEADER, INC. | C CORPORATION |
Disclosures
| Regulatory Event | 5 |
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.
