Krey R. 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.
Krey Ronald Thompson, who also goes by Krey R Thompson, was a registered financial professional .
Krey is a previously registered financial professional and started their career in finance in 1999. Krey had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2020 - May 30, 2025
RIGGS CAPITAL MANAGEMENT, LLC
July 3, 2017 - October 30, 2019
DFPG INVESTMENTS, LLC
October 13, 2016 - June 30, 2017
ORCHARD SECURITIES, LLC
February 9, 2002 - December 17, 2003
PARKLAND SECURITIES, LLC
January 22, 1999 - February 9, 2002
WALNUT STREET SECURITIES, INC.
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
RIGGS CAPITAL MANAGEMENT, LLC
CRD#: 120253 / SEC#: 801-64363
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 360 |
| AUM (Assets Under Management) | $ 306,847,259 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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