Kelli L. 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.
Kelli Lynn Thompson was a registered financial professional .
Kelli is a previously registered financial professional and started their career in finance in 1997. Kelli had worked at 3 firms and has passed the Series 66, Series 63 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
October 5, 2012 - February 1, 2016
TEN CAPITAL WEALTH ADVISORS, LLC
July 17, 2009 - October 5, 2012
RICHARDS, MERRILL & PETERSON, INC.
December 5, 1997 - October 5, 2012
RICHARDS MERRILL WEALTH MANAGEMENT
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
TEN CAPITAL WEALTH ADVISORS, LLC
CRD#: 159802 / SEC#: 801-73030
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,351 |
| AUM (Assets Under Management) | $ 913,068,185 |
Red Flags
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