Michael D. 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.
Michael Damon Thompson, who also goes by Michael D Thompson, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2004. Michael had worked at 10 firms and has passed the Series 65, 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
January 4, 2021 - May 26, 2022
GOLDMAN SACHS & CO. LLC
December 10, 2019 - May 26, 2022
GOLDMAN SACHS WEALTH SERVICES, L.P.
December 9, 2019 - January 4, 2021
MERCER ALLIED COMPANY, L.P.
September 22, 2016 - October 25, 2018
PNC WEALTH MANAGEMENT LLC
September 22, 2016 - October 25, 2018
PNC WEALTH MANAGEMENT LLC
February 22, 2010 - December 17, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 22, 2010 - December 17, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 30, 2008 - February 19, 2010
CHASE INVESTMENT SERVICES CORP.
January 30, 2008 - February 19, 2010
CHASE INVESTMENT SERVICES CORP.
May 29, 2007 - February 4, 2008
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - February 4, 2008
CITIGROUP GLOBAL MARKETS INC.
December 18, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
December 18, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
January 6, 2005 - December 18, 2006
CITIGROUP GLOBAL MARKETS INC.
October 29, 2004 - December 18, 2006
CITIGROUP GLOBAL MARKETS INC.
July 27, 2004 - December 15, 2004
IDS LIFE INSURANCE COMPANY
July 27, 2004 - December 15, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
GOLDMAN SACHS & CO. LLC
CRD#: 361 / SEC#: 801-16048, 8-129
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
GOLDMAN SACHS & CO. LLC
CRD#: 361 / SEC#: 801-16048, 8-129
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GOLDMAN SACHS GROUP, INC. | CLASS A MEMBER | |
| COLEMAN, DENIS PATRICK III | MANAGING DIRECTOR, MANAGER | 2782373 |
| DOYLE, BRIAN RICHARD | MANAGING DIRECTOR, CFO | 6003685 |
| GREEFF, BRIAN MICHAEL | CO-PRINCIPAL OPERATIONS OFFICER | 4273392 |
| MATTHIAS, THOMAS FAIRBANKS | CHIEF COMPLIANCE OFFICER | 2872690 |
| MCCASKILL, MARK | MANAGING DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 3272131 |
| RUEMMLER, KATHRYN HELEN | MANAGING DIRECTOR, CLO, MANAGER | 7250761 |
| SOLOMON, DAVID MICHAEL | MANAGING DIRECTOR, MANAGER | 1616414 |
| VENEZIA, CARMINE ANTHONY | CHIEF COMPLIANCE OFFICER | 4117304 |
| WALDRON, JOHN EDWARD | MANAGING DIRECTOR, CEO, MANAGER | 2569337 |
Regulatory assets under management
| Total Number of Accounts | 42,138 |
| AUM (Assets Under Management) | $ 233,155,693,023 |
Disclosures
| Regulatory Event | 408 |
| Civil Event | 4 |
| Arbitration | 20 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 09/25/2024 | ||
| 11/17/2023 | ||
| 01/26/2023 |
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.
