Roger E. 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.
Roger Earl Thompson, who also goes by Roger Thompson, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1997. Roger had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2007 - August 1, 2016
INVESTMENT ADVISORS CORP
April 1, 1999 - August 1, 2016
BROKER DEALER FINANCIAL SERVICES CORP.
January 10, 1997 - April 12, 1999
VACATION INVESTORS, 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
INVESTMENT ADVISORS CORP
CRD#: 117531 / SEC#: 801-69573
Contact information
Red Flags
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