Alison S. 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.
Alison Suzanne Thompson, who also goes by Alison Suzanne Crandall, was a registered financial professional .
Alison is a previously registered financial professional and started their career in finance in 2003. Alison had worked at 4 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
October 3, 2008 - December 19, 2017
EXANE, INC.
March 21, 2007 - September 3, 2008
CAZENOVE INCORPORATED
April 19, 2005 - April 10, 2007
SG AMERICAS SECURITIES, LLC
October 22, 2003 - April 1, 2005
AUERBACH GRAYSON & COMPANY LLC
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
EXANE, INC.
CRD#: 41784 / SEC#: , 8-49569
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
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.
