Jeremey S. 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.
Jeremey Shane Thompson was a registered financial professional .
Jeremey is a previously registered financial professional and started their career in finance in 1999. Jeremey had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 34, Series 3, Series 7, Series 4, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2011 - November 10, 2017
OPTIONSXPRESS, INC.
January 9, 2006 - December 9, 2020
CHARLES SCHWAB & CO., INC.
January 9, 2006 - December 9, 2020
CHARLES SCHWAB & CO., INC.
July 28, 2004 - December 1, 2005
MORGAN KEEGAN & COMPANY, LLC
July 28, 2004 - December 1, 2005
MORGAN KEEGAN & COMPANY, LLC
January 20, 2004 - August 5, 2004
UNION PLANTERS INVESTMENT ADVISORS, INC.
January 9, 2004 - August 5, 2004
PFIC SECURITIES CORPORATION
May 16, 2003 - January 6, 2004
ONEAMERICA SECURITIES, INC.
January 14, 2002 - April 11, 2003
SII INVESTMENTS, INC.
March 6, 2001 - April 11, 2003
SII INVESTMENTS, INC.
August 24, 1999 - March 12, 2001
IDS LIFE INSURANCE COMPANY
August 24, 1999 - March 12, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
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
OPTIONSXPRESS, INC.
CRD#: 103849 / SEC#: , 8-52354
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 1 |
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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