Neal P. 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.
Neal Preston Thompson, who also goes by Neal Thompson, was a registered financial professional .
Neal is a previously registered financial professional and started their career in finance in 2005. Neal had worked at 3 firms and has passed the Series 65, Series 63 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 18, 2019 - October 29, 2020
PI DAY WEALTH PLANNING LLC
December 2, 2008 - April 8, 2009
SCOTTRADE, INC.
August 23, 2005 - November 7, 2006
EDWARD JONES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PI DAY WEALTH PLANNING LLC
CRD#: 298969 / SEC#:
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
