ST
Stanley B. Thompson
HAYWOOD SECURITIES (USA)
Vancouver, Bc, V6C 3L6
Some features on this profile are disabled
CRD#: 4936225
ST
Professional summary
Stanley Bruce Thompson, who also goes by Bruce Thompson, S Bruce Thompson, is a registered financial professional currently at HAYWOOD SECURITIES (USA) INC. .
Stanley is registered as a RR (Registered Representative) and started their career in finance in 2005. Stanley has worked at 1 firm and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 87, Series 37, Series 14 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Bruce Thompson | S Bruce Thompson
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Stanley Bruce Thompson's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 15, 2005 - Present
HAYWOOD SECURITIES (USA) INC.
Office #1: 200 Burrard St Suite 700, Vancouver, Bc, V6C 3L6BD
CRD#: 42072
Vancouver, Bc,
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/9/2021)
RR
Alaska(11/4/2010)
RR
Arizona(11/4/2010)
RR
Arkansas(7/11/2019)
RR
California(11/28/2007)
RR
Colorado(11/4/2010)
RR
Connecticut(11/28/2007)
RR
Delaware(11/4/2010)
RR
District of Columbia(11/4/2010)
RR
Florida(2/19/2008)
RR
Georgia(11/4/2010)
RR
Hawaii(11/4/2010)
RR
Idaho(11/4/2010)
RR
Illinois(11/28/2007)
RR
Indiana(11/29/2007)
RR
Iowa(12/5/2007)
RR
Kansas(8/29/2011)
RR
Kentucky(7/2/2019)
RR
Louisiana(11/4/2010)
RR
Maine(11/29/2007)
RR
Maryland(12/4/2007)
RR
Massachusetts(12/3/2007)
RR
Michigan(11/4/2010)
RR
Minnesota(11/29/2007)
RR
Missouri(11/4/2010)
RR
Montana(11/4/2010)
RR
Nebraska(12/4/2015)
RR
Nevada(11/4/2010)
RR
New Hampshire(12/5/2007)
RR
New Jersey(11/4/2010)
RR
New Mexico(11/29/2007)
RR
New York(11/4/2010)
RR
North Carolina(11/29/2007)
RR
North Dakota(11/4/2010)
RR
Ohio(12/5/2007)
RR
Oklahoma(11/29/2007)
RR
Oregon(11/30/2007)
RR
Pennsylvania(11/29/2007)
RR
Puerto Rico(6/21/2016)
RR
Rhode Island(11/29/2007)
RR
South Carolina(11/4/2010)
RR
South Dakota(11/29/2007)
RR
Tennessee(11/4/2010)
RR
Texas(2/1/2008)
RR
Utah(11/4/2010)
RR
Vermont(11/4/2010)
RR
Virginia(11/4/2010)
RR
Washington(11/28/2007)
RR
West Virginia(11/4/2010)
RR
Wisconsin(12/17/2007)
RR
Wyoming(11/4/2010)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 37
Date: 8/12/2005
Canada Module of the General Securities Registered Representative (With Options Questions)Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HS
HAYWOOD SECURITIES (USA) INC.
HAYWOOD (USA) SECURITIES INC. | HAYWOOD SECURITIES (USA) INC.
CRD#: 42072 / SEC#: , 8-49696
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
200 Burrard St Suite 700, Vancouver, Bc, V6C 3L6
Mailing Address
200 Burrard St Suite 700, Vancouver, Bc, V6C 3L6
Phone number
(604) 697-7400
Established
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
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.
Company Information
HAYWOOD SECURITIES (USA) INC.
CRD#: 42072Vancouver, Bc, V6C 3L6TRUST BUT VERIFY
Monitor Stanley Thompson
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
