Eric 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.
Eric Andrew Thompson was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2002. Eric had worked at 6 firms and has passed the Series 63, SIE 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
August 30, 2016 - June 30, 2017
KALOS CAPITAL, INC.
December 1, 2009 - December 5, 2014
TRUIST SECURITIES, INC.
October 29, 2008 - December 2, 2009
ICBA SECURITIES
October 10, 2008 - December 2, 2009
VINING-SPARKS IBG, LLC
July 12, 2005 - April 17, 2006
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
February 22, 2005 - July 15, 2005
TRUIST SECURITIES, INC.
May 29, 2002 - February 22, 2005
NBC CAPITAL MARKETS GROUP, 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
Current Firm
KALOS CAPITAL, INC.
CRD#: 44337 / SEC#: , 8-50630
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALOS FINANCIAL, INC. | OWNER | |
| WILDERMUTH, CAROL JEAN | CEO, CFO, CCO | 1555730 |
Disclosures
| Regulatory Event | 3 |
| Financial | 1 |
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.
