Taiya 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.
Taiya Marie Thompson, who also goes by Taija Marie Vance, Taiya Marie Vance, was a registered financial professional .
Taiya is a previously registered financial professional and started their career in finance in 1998. Taiya had worked at 4 firms and has passed the Series 65, Series 63, 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
May 18, 2012 - April 17, 2015
ASHTON THOMAS PRIVATE WEALTH
May 15, 2012 - April 23, 2015
ACCELERATED CAPITAL GROUP
January 12, 2000 - March 21, 2012
STRATEGIC ADVISERS LLC
June 19, 1998 - March 19, 2012
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
ASHTON THOMAS PRIVATE WEALTH
CRD#: 153902 / SEC#: 801-71512
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
ASHTON THOMAS PRIVATE WEALTH
CRD#: 153902 / SEC#: 801-71512
Contact information
SEC notice filing (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,733 |
| AUM (Assets Under Management) | $ 4,051,333,740 |
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.
