Stephen H. 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.
Stephen Hyer Thompson was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2002. Stephen had worked at 7 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2011 - October 21, 2011
CROSS BORDER TAX & ACCOUNTING, LLC
June 29, 2011 - February 5, 2019
KEATS, CONNELLY & ASSOCIATES, INC
December 15, 2008 - February 23, 2011
USAA FINANCIAL PLANNING SERVICES
November 8, 2007 - December 31, 2008
USAA INVESTMENT SERVICES COMPANY
October 31, 2007 - December 31, 2007
USAA INVESTMENT SERVICES COMPANY
October 31, 2007 - February 23, 2011
USAA FINANCIAL ADVISORS, INC.
September 21, 2005 - October 18, 2007
RBC CAPITAL MARKETS, LLC
September 9, 2005 - October 18, 2007
RBC CAPITAL MARKETS, LLC
July 3, 2002 - September 15, 2005
LEGG MASON WOOD WALKER, INCORPORATED
April 26, 2002 - September 15, 2005
LEGG MASON WOOD WALKER, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current firm
No current employment
Red Flags
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