Ray A. Thompson
Professional summary
Ray Alexander Thompson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ray is a previously registered financial advisor and started their career in finance in 1999. Prior to being barred, Ray had worked at 7 firms, which includes TD AMERITRADE INC., TD AMERITRADE INVESTMENT MANAGEMENT LLC, CHASE INVESTMENT SERVICES CORP., BANC ONE SECURITIES CORPORATION, E*TRADE SECURITIES LLC, A. G. EDWARDS & SONS INC., COASTAL SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2006 - October 11, 2010
TD AMERITRADE, INC.
November 7, 2006 - October 11, 2010
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 31, 2006 - October 11, 2010
TD AMERITRADE, INC.
July 6, 2005 - October 19, 2006
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - October 19, 2006
CHASE INVESTMENT SERVICES CORP.
October 30, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
October 24, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
July 17, 2002 - March 11, 2003
E*TRADE SECURITIES LLC
March 22, 2000 - February 26, 2002
A. G. EDWARDS & SONS, INC.
April 20, 1999 - March 17, 2000
COASTAL SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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