David J. 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.
David James Thompson, who also goes by David James Thompson, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2003. David had worked at 4 firms and has passed the Series 63, Series 57TO, Series 7TO, Series 34, Series 3, Series 7, Series 17, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2024 - July 24, 2025
CURVATURE SECURITIES LLC
September 27, 2022 - April 2, 2024
VELOCITY CLEARING, LLC
July 6, 2011 - April 21, 2014
TD AMERITRADE, INC.
May 26, 2003 - July 17, 2003
UBS SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 11/21/2022
Securities Trader ExamSeries 7TO
Date: 9/26/2022
General Securities Representative ExaminationSeries 17
Date: 5/23/2003
Limited Registered Representative ExaminationCurrent Firm
CURVATURE SECURITIES LLC
CRD#: 169708 / SEC#: , 8-69384
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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