Charles M. 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.
Charles Merville Thompson JR, who also goes by Chase Thompson, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1995. Charles had worked at 4 firms and has passed the Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2010 - January 6, 2025
NRW ASSET MANAGEMENT, INC.
August 8, 2003 - July 30, 2010
RIVERPLACE CAPITAL MANAGEMENT INC
December 6, 2000 - January 30, 2001
ALLEN C. EWING & CO.
October 31, 1995 - December 6, 2000
SEARS. THOMPSON INVESTMENT GROUP, 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
Current Firm
NRW ASSET MANAGEMENT, INC.
CRD#: 144190 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 27 |
| AUM (Assets Under Management) | $ 6,311,751 |
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.
