Joseph 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.
Joseph Arthur Thompson, who also goes by Joe Thompson, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1973. Joseph had worked at 12 firms and has passed the Series 63, Series 6TO, Series 7TO, SIE 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
November 12, 2020 - March 31, 2021
LION STREET ADVISORS, LLC
May 13, 2019 - March 31, 2021
LION STREET FINANCIAL, LLC
January 8, 2013 - May 14, 2019
VALMARK ADVISERS, INC.
January 4, 2012 - May 14, 2019
VALMARK SECURITIES, INC.
July 17, 2007 - January 20, 2012
KESTRA INVESTMENT SERVICES, LLC
July 16, 2007 - January 20, 2012
KESTRA INVESTMENT SERVICES, LLC
July 2, 2001 - July 16, 2007
CLARK SECURITIES, INC.
October 22, 1999 - July 2, 2001
CLARK-BARDES SECURITIES, INC.
March 29, 1993 - July 25, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
September 9, 1987 - February 25, 2002
THE VARIABLE ANNUITY MARKETING COMPANY
October 17, 1984 - April 21, 1992
GORDIAN SECURITIES, INC.
March 14, 1983 - August 20, 1984
VP DISTRIBUTORS LLC
February 21, 1973 - February 8, 1983
LINCOLN FINANCIAL DISTRIBUTORS, INC.
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 2/23/1973
Registered Representative ExaminationCurrent Firm
LION STREET ADVISORS, LLC
CRD#: 167610 / SEC#: 801-107414
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 7,668 |
| AUM (Assets Under Management) | $ 3,177,363,713 |
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.
