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AT

Albert L. Thompson

WEALTHFORGE SECURITIES
Richmond, VA 23230
Some features on this profile are disabled
CRD#: 2697920
AT

Professional summary

Albert Louis Thompson, who also goes by Albert L Thompson, Albert Louis Thompson, is a registered financial professional currently at WEALTHFORGE SECURITIES, LLC located in Richmond, Virginia.

Albert is registered as a RR (Registered Representative) and started their career in finance in 1996. Albert has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Albert L Thompson | Albert Louis 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 Albert Louis Thompson'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 3, 2025 - Present

WEALTHFORGE SECURITIES, LLC

Office #1: 3015 W Moore Street Suite 102, Richmond, VA 23230
BD
CRD#: 152550
Richmond, VA
Past

March 26, 2021 - January 3, 2025

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

October 18, 2019 - September 21, 2020

EMERSON EQUITY LLC

BD
CRD#: 130032
SAN MATEO, CA
Past

March 26, 2017 - May 3, 2019

ASCENDANT ALTERNATIVE STRATEGIES, LLC

BD
CRD#: 283881
Austin, TX
Past

January 4, 2016 - March 30, 2017

AXIOM CAPITAL MANAGEMENT, INC.

BD
CRD#: 26580
AUSTIN, TX
Past

June 6, 2005 - October 20, 2015

HINES PRIVATE WEALTH SOLUTIONS LLC

BD
CRD#: 128145
HOUSTON, TX
Past

November 20, 1996 - March 8, 2005

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
(3/3/2025)
RR
Alaska
(3/3/2025)
RR
Arizona
(3/3/2025)
RR
Arkansas
(3/3/2025)
RR
California
(3/3/2025)
RR
Colorado
(3/3/2025)
RR
Connecticut
(3/3/2025)
RR
Delaware
(3/3/2025)
RR
District of Columbia
(3/3/2025)
RR
Florida
(3/3/2025)
RR
Georgia
(3/3/2025)
RR
Hawaii
(3/3/2025)
RR
Idaho
(3/3/2025)
RR
Illinois
(3/3/2025)
RR
Indiana
(3/3/2025)
RR
Iowa
(3/3/2025)
RR
Kansas
(3/3/2025)
RR
Kentucky
(3/3/2025)
RR
Louisiana
(3/3/2025)
RR
Maine
(3/3/2025)
RR
Maryland
(3/3/2025)
RR
Massachusetts
(3/3/2025)
RR
Michigan
(3/3/2025)
RR
Minnesota
(3/3/2025)
RR
Mississippi
(3/3/2025)
RR
Missouri
(3/3/2025)
RR
Montana
(3/3/2025)
RR
Nebraska
(3/3/2025)
RR
Nevada
(3/3/2025)
RR
New Hampshire
(3/3/2025)
RR
New Jersey
(3/3/2025)
RR
New Mexico
(3/3/2025)
RR
New York
(3/3/2025)
RR
North Carolina
(3/3/2025)
RR
North Dakota
(3/3/2025)
RR
Ohio
(3/3/2025)
RR
Oklahoma
(3/3/2025)
RR
Oregon
(3/3/2025)
RR
Pennsylvania
(3/3/2025)
RR
Puerto Rico
(3/3/2025)
RR
Rhode Island
(3/3/2025)
RR
South Carolina
(3/3/2025)
RR
South Dakota
(3/3/2025)
RR
Tennessee
(3/3/2025)
RR
Texas
(3/3/2025)
RR
Utah
(3/3/2025)
RR
Vermont
(3/3/2025)
RR
Virgin Islands
(3/3/2025)
RR
Virginia
(3/3/2025)
RR
Washington
(3/3/2025)
RR
West Virginia
(3/3/2025)
RR
Wisconsin
(3/3/2025)
RR
Wyoming
(3/3/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/21/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/4/1997
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/19/1996
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/24/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

WS
WEALTHFORGE SECURITIES, LLC
WEALTHFORGE | WEALTHFORGE, LLC | WEALTHFORGE SECURITIES, LLC

CRD#: 152550 / SEC#: , 8-68464

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

Main Address
3015 W Moore St Suite 102, Richmond, VA 23230
Mailing Address
3015 W Moore St Suite 102, Richmond, VA 23230
Phone number
(804) 308-0431
Established
Virginia since 07/28/2009
Firm type
Limited Liability Company
Fiscal year end
December
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#
WEALTHFORGE HOLDINGS, INC.PARENT
ARLES, DONNA DIPIETROCFO, PFO, POO6489389
RAPER, JAMES LEROY JRCCO, COO5721253
ROBBINS, GEORGE WILLIAM IVCEO2440106

Disclosures

Regulatory Event3
Arbitration1

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

WEALTHFORGE SECURITIES, LLC

CRD#: 152550Richmond, VA 23230

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