Robert 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.
Robert Thompson, who also goes by Bob Thompson, Robert Dirlam Thompson, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1969. Robert had worked at 6 firms and has passed the Series 65, Series 63, SIE, PC, Series 1, Series 4, Series 12 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 24, 2009 - September 16, 2015
OPPENHEIMER & CO. INC.
June 22, 2009 - September 16, 2015
OPPENHEIMER & CO. INC.
June 1, 2009 - July 1, 2009
MORGAN STANLEY
June 1, 2009 - July 1, 2009
MORGAN STANLEY
April 15, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 12, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 20, 1983 - April 16, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 12, 1978 - April 16, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 19, 1971 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
April 2, 1969 - June 4, 1971
GOODBODY & CO. INCORPORATED
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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
PC
Date: 5/2/1977
AMEX Put and Call ExamSeries 1
Date: 3/31/1969
Registered Representative ExaminationSeries 12
Date: 3/3/1975
NYSE Branch Manager ExaminationSeries 00
Date: 2/26/1975
General Securities Principal ExaminationCurrent Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
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.
