John A. 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.
John Andrew Thompson was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1965. John had worked at 5 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 1994 - February 21, 2014
BTS ASSET MANAGEMENT, INC.
January 21, 1981 - February 21, 2014
BTS SECURITIES CORPORATION
December 8, 1976 - March 16, 1981
ENTERPRISE FUND DISTRIBUTORS, INC.
January 16, 1973 - January 6, 1977
PIEDMONT CAPITAL CORPORATION
November 3, 1965 - November 15, 1973
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
Primary Firm SEC Registration
BTS ASSET MANAGEMENT, INC.
CRD#: 105215 / SEC#: 801-14895
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 1
Date: 11/2/1965
Registered Representative ExaminationCurrent Firm
BTS ASSET MANAGEMENT, INC.
CRD#: 105215 / SEC#: 801-14895
Contact information
SEC notice filing (50 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 590 |
| AUM (Assets Under Management) | $ 188,801,492 |
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.
