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WT

William R. Thompson

SOUTH STREET SECURITIES LLC
New York, NY 10036
Some features on this profile are disabled
CRD#: 3091876
WT

Professional summary

William Ray Thompson, who also goes by Buck Thompson, is a registered financial professional currently at SOUTH STREET SECURITIES LLC located in New York, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 1998. William has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Buck Thompson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Ray Thompson's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 2, 2019 - Present

SOUTH STREET SECURITIES LLC

Office #1: 1155 Sixth Ave 14th Floor, New York, NY 10036
BD
CRD#: 125202
New York, NY
Past

November 5, 2002 - March 12, 2019

BOK FINANCIAL SECURITIES, INC.

BD
CRD#: 17530
LITTLE ROCK, AR
Past

July 28, 1999 - November 5, 2002

STEPHENS

BD
CRD#: 3496
LITTLE ROCK, AR
Past

October 29, 1998 - July 23, 1999

REGIONS INVESTMENT COMPANY, INC.

BD
CRD#: 17618
BIRMINGHAM, AL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(4/2/2019)
RR
Alaska
(4/2/2019)
RR
Arizona
(4/2/2019)
RR
Arkansas
(4/2/2019)
RR
California
(4/2/2019)
RR
Colorado
(4/2/2019)
RR
Connecticut
(4/2/2019)
RR
Delaware
(4/2/2019)
RR
District of Columbia
(4/2/2019)
RR
Florida
(4/2/2019)
RR
Georgia
(4/2/2019)
RR
Hawaii
(4/2/2019)
RR
Idaho
(4/2/2019)
RR
Illinois
(4/2/2019)
RR
Indiana
(4/2/2019)
RR
Iowa
(4/2/2019)
RR
Kansas
(4/2/2019)
RR
Kentucky
(4/2/2019)
RR
Louisiana
(4/2/2019)
RR
Maine
(4/2/2019)
RR
Maryland
(4/2/2019)
RR
Massachusetts
(4/2/2019)
RR
Michigan
(4/2/2019)
RR
Minnesota
(4/2/2019)
RR
Mississippi
(4/2/2019)
RR
Missouri
(4/2/2019)
RR
Montana
(4/2/2019)
RR
Nebraska
(4/2/2019)
RR
Nevada
(4/2/2019)
RR
New Hampshire
(4/2/2019)
RR
New Jersey
(4/2/2019)
RR
New Mexico
(4/2/2019)
RR
New York
(4/2/2019)
RR
North Carolina
(4/2/2019)
RR
North Dakota
(4/2/2019)
RR
Ohio
(4/2/2019)
RR
Oklahoma
(4/2/2019)
RR
Oregon
(4/2/2019)
RR
Pennsylvania
(4/2/2019)
RR
Puerto Rico
(4/2/2019)
RR
Rhode Island
(4/2/2019)
RR
South Carolina
(4/2/2019)
RR
South Dakota
(4/2/2019)
RR
Tennessee
(4/2/2019)
RR
Texas
(4/2/2019)
RR
Utah
(4/2/2019)
RR
Vermont
(4/2/2019)
RR
Virgin Islands
(4/2/2019)
RR
Virginia
(4/2/2019)
RR
Washington
(4/2/2019)
RR
West Virginia
(4/2/2019)
RR
Wisconsin
(4/2/2019)
RR
Wyoming
(4/2/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 9/4/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SOUTH STREET SECURITIES LLC
SOUTH STREET SECURITIES LLC

CRD#: 125202 / SEC#: , 8-65770

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1155 Sixth Ave 14th Floor, New York, NY 10036
Mailing Address
1155 Sixth Ave 14th Floor, New York, NY 10036
Phone number
(212) 824-0738
Established
Delaware since 03/01/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SOUTH STREET SECURITIES FUNDING LLCOWNER
KELLY, JOHN EDWARDCCO
LUBRANO, LEONARD GCFO1091164
PEREZ-VEGA, JOSE CARLOSBOARD OF MANAGER2209448
PUCCI, STEPHANIETRADING PRINCIPAL2674481
SCHUIT, JASON EDWARDPRESIDENT2426827
TABACCHI, JAMES MICHAELCHIEF EXECUTIVE OFFICER/ BOARD OF MGERS2355049

Disclosures

Regulatory Event1

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.

Company Information

SOUTH STREET SECURITIES LLC

CRD#: 125202New York, NY 10036

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