John G. 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 Gerald Thompson was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1970. John had worked at 8 firms and has passed the SIE 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
July 22, 2002 - December 20, 2016
AMERITAS INVESTMENT COMPANY, LLC
August 2, 1983 - July 2, 2002
CETERA WEALTH SERVICES, LLC
January 28, 1983 - August 15, 1983
SOUTHMARK FINANCIAL SERVICES, INC.
January 29, 1982 - January 11, 1983
FINANCIAL PLANNERS EQUITY CORPORATION
March 12, 1980 - January 12, 1982
GENERAL AMERICAN LIFE INSURANCE COMPANY
August 7, 1978 - November 30, 1978
SECURITIES MANAGEMENT & RESEARCH, INC.
December 18, 1975 - December 24, 1980
WOODBURY FINANCIAL SERVICES, INC.
June 10, 1970 - July 25, 1975
MODERN AMERICA SECURITIES CORPORATION
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: 4/20/1965
General Securities Principal ExaminationCurrent Firm
AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869 / SEC#: 801-undefined, 8-31296
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERITAS LIFE INSURANCE CORP. | BENEFICIAL OWNER | |
| BEASLEY, RYAN CHARLES | MEMBER BOARD OF DIRECTORS | 2943009 |
| BERTHOLD, RICHARD AARON | VICE PRESIDENT, OPERATIONS | 4433172 |
| BIEL, ROLLIN LYNN | FINANCIAL AND OPERATIONS PRINCIPAL | 5101711 |
| HALVERSON, KELLY JAY | MEMBER BOARD OF DIRECTORS | 7977580 |
| KINSELLA, MATTHEW JOHN | CHIEF COMPLIANCE OFFICER | 5217108 |
| KORTE, BRENT FRAZIER | MEMBER BOARD OF DIRECTORS | 4808103 |
| ROBSON, JEREMY MICHAEL | PRESIDENT AND MEMBER BOARD OF DIRECTORS | 4147931 |
| SCHUBAUER, TYLER JOSEPH | CORPORATE SECRETARY | 6392775 |
| SHERFFIUS, MARIA ELIZABETH | SECOND VICE PRESIDENT - COMPLIANCE OFFICER | 2726500 |
| WU, MICHELE XIAOMING | MEMBER BOARD OF DIRECTORS | 7863936 |
Disclosures
| Regulatory Event | 21 |
| Arbitration | 2 |
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.
