Samuel O. 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.
Samuel Oscar Thompson, who also goes by Samual Oscar Thompson Jr, Samual Oscar Thompson Jr, Samuel O Thompson II, Samuel Thompson Ii, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 2001. Samuel had worked at 5 firms and has passed the Series 66, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2010 - December 31, 2011
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
March 30, 2010 - August 16, 2013
J.P. TURNER & COMPANY, L.L.C.
May 26, 2009 - March 29, 2010
GUNNALLEN FINANCIAL, INC
May 22, 2009 - March 29, 2010
GUNNALLEN FINANCIAL, INC
December 11, 2008 - February 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 10, 2008 - February 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 2, 2001 - January 8, 2002
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC
CRD#: 124446 / SEC#: 801-67970
Contact information
Red Flags
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