Benjamin O. Thompson
Professional summary
Benjamin O. Thompson, who also goes by Benjamin Owen Thompson, is a registered financial professional currently at J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. located in New York, New York.
Benjamin is registered as a RR (Registered Representative) and started their career in finance in 1998. Benjamin has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Benjamin O. Thompson's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 20, 2019 - Present
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
Office #1: 390 Madison Ave, New York, NY 10017-2513November 26, 2013 - September 25, 2019
JPMORGAN DISTRIBUTION SERVICES, INC.
December 3, 2008 - November 7, 2013
CITIGROUP GLOBAL MARKETS INC.
October 30, 2007 - November 7, 2013
CITIGROUP GLOBAL MARKETS INC.
July 27, 2007 - October 31, 2007
CITI DISTRIBUTION SERVICES, INC.
July 6, 1999 - July 31, 2007
FORESIDE DISTRIBUTION SERVICES, L.P.
December 24, 1998 - May 3, 1999
IDS LIFE INSURANCE COMPANY
December 24, 1998 - May 3, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
CRD#: 102920 / SEC#: 801-64031, 8-52182
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
Red Flags
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