William 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.
William Michael Thompson, who also goes by Thompson Michael William, Thompson William, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1997. William had worked at 1 firm and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 1997 - March 4, 2018
PORTFOLIO ADVISORS, INC.
Primary Firm SEC Registration
PORTFOLIO ADVISORS, INC.
CRD#: 106111 / SEC#: 801-38220
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
PORTFOLIO ADVISORS, INC.
CRD#: 106111 / SEC#: 801-38220
Contact information
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 755 |
| AUM (Assets Under Management) | $ 224,251,297 |
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.
