Noel O. 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.
Noel O Thompson was a registered financial professional .
Noel is a previously registered financial professional and started their career in finance in 2004. Noel had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 25 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
March 25, 2015 - November 30, 2018
303 ALTERNATIVES, LLC
July 2, 2013 - September 23, 2013
CV BROKERAGE, INC
July 26, 2011 - October 19, 2011
ECHOTRADE LLC
October 14, 2010 - April 8, 2011
J.P. MORGAN SECURITIES LLC
August 18, 2009 - October 18, 2010
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
August 15, 2005 - September 11, 2009
GOLDMAN SACHS & CO. LLC
June 3, 2004 - July 26, 2004
LABRANCHE & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 25
Date: 2/2/2006
NYSE Trading Assistant ExaminationCurrent Firm
303 ALTERNATIVES, LLC
CRD#: 166675 / SEC#: , 8-69225
Contact information
FINRA licenses (4 States and Territories)
Red Flags
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