Stephen 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.
Stephen Douglas Thompson was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1998. Stephen had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2023 - February 3, 2026
MISSIONSQUARE WEALTH MANAGEMENT
May 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
Exams
Series 6TO
Date: 5/9/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
MISSIONSQUARE WEALTH MANAGEMENT
CRD#: 23189 / SEC#: , 8-40268
Contact information
FINRA licenses (51 States and Territories)
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 | PRESIDENT & PRINCIPAL MANAGER | 3221945 |
| RICHARDS, CLIFF LAWRENCE | CHIEF COMPLIANCE OFFICER | 2974428 |
| WHITTY, RICHARD PATRICK | TREASURER/FINOP | 1988149 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
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