Kleve C. 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.
Kleve Carlton Thompson, who also goes by K C Thompson, was a registered financial professional .
Kleve is a previously registered financial professional and started their career in finance in 1999. Kleve had worked at 7 firms and has passed the Series 65, Series 63, 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
August 14, 2015 - May 10, 2018
KMS FINANCIAL SERVICES, INC.
January 22, 2014 - May 10, 2018
KMS FINANCIAL SERVICES, INC.
February 25, 2008 - March 12, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
January 31, 2005 - August 15, 2006
CRI SECURITIES, LLC
August 20, 2004 - August 15, 2006
SECURIAN FINANCIAL SERVICES, INC.
December 20, 2001 - September 6, 2002
SECURIAN FINANCIAL SERVICES, INC.
December 10, 1999 - June 15, 2001
IDS LIFE INSURANCE COMPANY
December 10, 1999 - June 15, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
June 22, 1999 - September 24, 1999
WILLAMETTE SECURITIES, INC.
March 26, 1999 - July 19, 1999
PHILLIPS & COMPANY
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
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 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.
