Michael D. 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.
Michael David Thompson, who also goes by Michael David Thompson, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 6 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7, Series 6 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
October 16, 2023 - January 7, 2026
HALO SECURITIES, LLC
September 12, 2017 - September 14, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 12, 2017 - April 20, 2021
TD AMERITRADE, INC.
July 24, 2017 - April 20, 2021
TD AMERITRADE, INC.
January 1, 2004 - September 23, 2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 5, 2000 - January 1, 2004
TEACHERS PERSONAL INVESTORS SERVICES, INC.
December 15, 1997 - March 15, 2000
OPPENHEIMERFUNDS DISTRIBUTOR, 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: 10/6/2023
General Securities Representative ExaminationCurrent Firm
HALO SECURITIES, LLC
CRD#: 279029 / SEC#: , 8-69655
Contact information
FINRA licenses (51 States and Territories)
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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