Stephen D. Thompson
Professional summary
Stephen Douglas Thompson is a registered financial professional currently at MISSIONSQUARE INVESTMENT SERVICES located in Washington, District Of Columbia.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1998. Stephen has worked at 5 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Douglas Thompson's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2023 - Present
MISSIONSQUARE INVESTMENT SERVICES
Office #1: 777 North Capitol Street, Ne Suite 600, Washington, DC 20002-4240May 9, 2023 - June 29, 2023
VOYA FINANCIAL PARTNERS, LLC
January 3, 2011 - March 19, 2019
VOYA FINANCIAL ADVISORS, INC.
January 3, 2011 - March 19, 2019
VOYA FINANCIAL ADVISORS, INC.
May 19, 2005 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
January 15, 2003 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
July 7, 2001 - January 14, 2003
VOYA FINANCIAL PARTNERS, LLC
March 12, 2001 - July 5, 2001
WADDELL & REED
August 10, 1998 - March 1, 2001
NAVIGATOR SECURITIES LIMITED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/5/2023)
(7/5/2023)
(7/5/2023)
(7/5/2023)
(7/5/2023)
(7/5/2023)
(7/5/2023)
(7/5/2023)
(7/5/2023)
(7/5/2023)
(7/5/2023)
(7/5/2023)
Exams
Series 6TO
Date: 5/9/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
MISSIONSQUARE INVESTMENT SERVICES
CRD#: 23189 / SEC#: , 8-40268
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION D/B/A MISSIONSQUARE RETIREMENT | MEMBER/OWNER | |
| GANEY, PETER DAVIDSON | MANAGER | 2282691 |
| HOGENDORN, SHANNON DANIEL | CHIEF OPERATIONS OFFICER | 3221945 |
| HOGENDORN, SHANNON DANIEL | PRINCIPAL MANAGER | 3221945 |
| RICHARDS, CLIFF LAWRENCE | CHIEF COMPLIANCE OFFICER | 2974428 |
| WHITTY, RICHARD PATRICK | TREASURER/FINOP | 1988149 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
