Raymond P. Thompson
Professional summary
Raymond Paul Thompson, who also goes by Raymond Thompson, Ray Thompson, is a registered financial advisor currently at THOMPSON PRIVATE WEALTH located in Sioux Falls, South Dakota.
Raymond is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Raymond has worked at 4 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Raymond Paul Thompson's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 7, 2014 - Present
THOMPSON PRIVATE WEALTH
Office #1: 224 N Phillips Ave Suite 200, Sioux Falls, SD 57104October 23, 2007 - October 24, 2007
NATIONAL PLANNING CORPORATION
October 23, 2007 - July 13, 2009
NATIONAL PLANNING CORPORATION
April 23, 2007 - August 6, 2014
SUTTERFIELD FINANCIAL GROUP, INC.
June 2, 2005 - October 23, 2007
AMERICAN GENERAL SECURITIES INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/27/2015)
(11/30/2015)
(8/7/2014)
(10/22/2015)
Exams
Current Firm
THOMPSON PRIVATE WEALTH
CRD#: 172142 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 530 |
| AUM (Assets Under Management) | $ 66,231,506 |
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.
