Anthony W. Thompson
Professional summary
Anthony Warren Thompson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Anthony is a previously registered financial professional and started their career in finance in 1972. Prior to being barred, Anthony had worked at 6 firms, which includes TNP SECURITIES LLC, CABIN SECURITIES INC., WILSON-DAVIS & CO. INC., GRUBB & ELLIS SECURITIES INC., LPL FINANCIAL LLC, LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2009 - May 8, 2013
TNP SECURITIES, LLC
January 2, 2009 - July 14, 2009
CABIN SECURITIES, INC.
September 4, 2008 - November 26, 2008
WILSON-DAVIS & CO., INC.
August 27, 1986 - February 11, 2008
GRUBB & ELLIS SECURITIES, INC.
March 22, 1982 - September 15, 1986
LPL FINANCIAL LLC
April 13, 1972 - March 2, 1982
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
State Registrations and Notice Filings
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Exams
Series 1
Date: 4/4/1972
Registered Representative ExaminationCurrent Firm
TNP SECURITIES, LLC
CRD#: 149178 / SEC#: , 8-68119
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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