Aaron L. 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.
Aaron Lewis Thompson was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 1999. Aaron had worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 6 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
November 7, 2007 - July 23, 2012
INVEST-SURE WEALTH MANAGEMENT, LLC
March 26, 2007 - July 17, 2007
CAPSTONE INVESTMENTS
July 11, 2005 - February 14, 2007
ALLSPRING FUNDS MANAGEMENT, LLC
April 11, 2005 - February 14, 2007
ALLSPRING FUNDS DISTRIBUTOR, LLC
August 12, 1999 - April 11, 2005
STRONG INVESTMENTS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INVEST-SURE WEALTH MANAGEMENT, LLC
CRD#: 139815 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 170,000 |
Red Flags
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