Michael D. Thompson
Professional summary
Michael David Thompson, who also goes by Thompson, is a registered financial advisor currently at THOMPSON FINANCIAL LLC located in Kenmore, Washington.
Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Michael has worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 53 and Series 24 exams.
At a Glance
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael David Thompson's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 10, 2016 - Present
THOMPSON FINANCIAL LLC
August 1, 2011 - June 17, 2016
OSAIC SERVICES, INC.
July 25, 2011 - June 17, 2016
OSAIC SERVICES, INC.
September 6, 2007 - July 29, 2011
EQUITABLE ADVISORS, LLC
May 8, 2006 - July 29, 2011
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(6/10/2016)
(6/10/2016)
Exams
What does exam status mean?
Current Firm
THOMPSON FINANCIAL LLC
CRD#: 282915 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 225 |
| AUM (Assets Under Management) | $ 74,084,322 |
Red Flags
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