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CT

Chad E. Thompson

Some features on this profile are disabled
CRD#: 4130459
CT

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.

Chad Elliott Thompson was a registered financial professional .

Chad is a previously registered financial professional and started their career in finance in 2000. Chad had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 9, 2015 - November 20, 2015

IFS SECURITIES

BD
CRD#: 40375
ATLANTA, GA
Past

February 14, 2013 - April 19, 2013

IFS SECURITIES

BD
CRD#: 40375
ATLANTA, GA
Past

August 11, 2009 - August 24, 2012

MERRIMAC CORPORATE SECURITIES, INC.

BD
CRD#: 35463
ALTAMONTE SPRINGS, FL
Past

May 22, 2008 - November 4, 2009

AURA FINANCIAL SERVICES, INC.

BD
CRD#: 42822
BIRMINGHAM, AL
Past

February 25, 2008 - May 15, 2008

J.D. NICHOLAS & ASSOCIATES, INC.

BD
CRD#: 44791
MOUNT DORA, FL
Past

November 1, 2007 - February 27, 2008

BROOKVILLE CAPITAL PARTNERS

BD
CRD#: 102380
MELVILLE, NY
Past

May 25, 2004 - December 31, 2005

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

January 2, 2001 - April 29, 2004

HARRISON SECURITIES, INC.

BD
CRD#: 14103
PORT WASHINGTON, NY
Past

July 24, 2000 - December 31, 2000

WHITEHALL WELLINGTON INVESTMENTS, INC.

BD
CRD#: 38022
PORT WASHINGTON, NY
Past

June 2, 2000 - June 15, 2000

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 9/13/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/20/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/1/2000
General Securities Representative Examination

Current Firm

IS
IFS SECURITIES
ALZAID FINANCIAL SERVICES, INC. | INTERNATIONAL FINANCIAL SOLUTIONS, INC. | IFS SECURITIES, INC | IFS SECURITIES | IFS EQUITY | IFS CAPITAL MARKETS | IFS ADVISORY, LLC

CRD#: 40375 / SEC#: , 8-49020

BD
Terminated by SEC on 02/28/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
Pennsylvania since 09/21/1993
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
IFS GROUP, INC.FOREIGN ENTITY/DIRECT OWNER
MCKENZIE, ALEXYS ULANDOCEO/OWNER2642827
SADLER, JOQUINN THOMASCHIEF COMPLIANCE OFFICER / CHIEF OPERATIONS OFFICER2817763

Disclosures

Regulatory Event3
Arbitration1
Financial1

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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Company Information

IFS SECURITIES

CRD#: 40375

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