Clark B. 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.
Clark Blake Thompson, who also goes by Clark B Thompson, was a registered financial professional .
Clark is a previously registered financial professional and started their career in finance in 1996. Clark had worked at 5 firms and has passed the Series 63, Series 7TO, SIE 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
September 18, 2018 - December 31, 2021
COMPASS DISTRIBUTORS, LLC
June 1, 2000 - September 17, 2018
OLSTEIN CAPITAL MANAGEMENT, L.P.
March 29, 2000 - June 14, 2000
ADOLPH KOMORSKY INVESTMENTS
June 13, 1997 - March 6, 2000
CITIGROUP GLOBAL MARKETS INC.
February 18, 1997 - June 17, 1997
SUNAMERICA SECURITIES, INC.
August 7, 1996 - October 8, 1996
CITIGROUP GLOBAL MARKETS 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 7TO
Date: 3/16/2024
General Securities Representative ExaminationCurrent Firm
COMPASS DISTRIBUTORS, LLC
CRD#: 172662 / SEC#: , 8-69518
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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