Jason R. 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.
Jason Reid Thompson, who also goes by Jason Thompson, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 2006. Jason had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Education
University of Washington
Bachelor of Economics - Economics
Experience
March 6, 2019 - December 13, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
December 22, 2018 - December 13, 2023
FIDELITY BROKERAGE SERVICES LLC
September 6, 2011 - November 6, 2018
TD AMERITRADE, INC.
September 6, 2011 - November 6, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 8, 2011 - November 6, 2018
TD AMERITRADE, INC.
March 10, 2009 - September 6, 2011
HARRISDIRECT LLC
October 10, 2006 - September 6, 2011
E*TRADE SECURITIES LLC
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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
