Francis N. 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.
Francis Neal Thompson was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1970. Francis had worked at 13 firms and has passed the Series 65, Series 63 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 9, 1994 - July 12, 2001
1717 CAPITAL MANAGEMENT COMPANY
March 22, 1993 - July 25, 1994
VERAVEST INVESTMENTS, INC.
June 17, 1991 - March 19, 1993
INVESTORS SECURITY COMPANY, INC.
June 18, 1990 - June 4, 1991
THE ADVISORS GROUP, INC.
August 9, 1989 - January 1, 1990
INDEPENDENT FINANCIAL SECURITIES, INC.
April 27, 1984 - July 25, 1989
INVESTORS SECURITY COMPANY, INC.
April 29, 1982 - January 5, 1984
LTA ASSET MANAGEMENT, INC.
December 12, 1978 - April 6, 1981
UNIVERSAL HERITAGE INVESTMENTS CORPORATION
June 7, 1978 - January 1, 1979
CECIL, WALLER & STERLING, INC.
September 12, 1975 - August 15, 1977
ETI INVESTMENT CORPORATION
October 24, 1974 - September 7, 1976
SOUTHWESTERN MANAGEMENT & RESEARCH CORPORATION
July 10, 1972 - April 2, 1976
FIRST UNION CAPITAL MARKETS CORP.
September 13, 1971 - October 24, 1972
USLIFE EQUITY SALES CORP
February 6, 1970 - November 1, 1972
FIDELITY MANAGEMENT CO
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
Series 00
Date: 1/21/1970
General Securities Principal ExaminationCurrent Firm
1717 CAPITAL MANAGEMENT COMPANY
CRD#: 4082 / SEC#: , 8-14657
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Bond | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
