Jennifer A. 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.
Jennifer Ann Thompson was a registered financial professional .
Jennifer is a previously registered financial professional and started their career in finance in 1997. Jennifer had worked at 5 firms and has passed the Series 63, SIE, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2008 - March 22, 2016
PORTALES PARTNERS, LLC
December 4, 2003 - March 10, 2008
OPPENHEIMER & CO. INC.
June 5, 2000 - September 30, 2003
NATIONAL BANK OF CANADA FINANCIAL INC.
June 18, 1998 - June 29, 1998
SBC WARBURG DILLON READ INC.
November 18, 1997 - May 23, 2000
UBS SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
PORTALES PARTNERS, LLC
CRD#: 112311 / SEC#: , 8-53236
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
