Dennis R. 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.
Dennis Ray Thompson JR. was a registered financial advisor .
Dennis is a previously registered financial advisor and started their career in finance in 2000. Dennis had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2008 - December 4, 2009
ONYX WEALTH ADVISORS, INC.
November 1, 2007 - December 4, 2009
CAMBRIDGE LEGACY SECURITIES L.L.C.
January 25, 2006 - October 31, 2007
FISHER INVESTMENTS
April 8, 2004 - December 20, 2005
WELLSTONE SECURITIES, LLC
December 6, 2002 - December 20, 2005
WELLSTONE SECURITIES, LLC
October 23, 2002 - December 31, 2002
CONSUMER CONCEPTS INVESTMENTS, INC.
October 29, 2001 - September 30, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 29, 2001 - September 30, 2002
OSAIC FA, INC.
December 8, 2000 - November 16, 2001
LOCUST STREET SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ONYX WEALTH ADVISORS, INC.
CRD#: 119558 / SEC#: 801-64117
Contact information
Red Flags
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