Malcolm Fredrick Thompson
Professional Summary
Malcolm Fredrick Thompson, who also goes by Malcolm Frederick Thompson, was a registered financial advisor. Malcolm was a previously registered financial professional and started their career in finance 2007 - 2013. Malcolm had worked at 3 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Malcolm Frederick Thompson
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures on record.
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Years of Experience
19 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
CONSORTIUM FINANCE SECURITIES LLC | MIDSPAN ADVISORS, LLC | FIRST CRAFT SECURITIES, LLC
Contact Information
Main Address
202 Mulberry Street, St. Michaels, MD 21663Mailing Address
P.o. Box 901, St. Michaels, MD 21663Phone Number
(310) 919-8842Established
Delaware since 05/12/2011Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONWAY, DANIEL S | CCO, MANAGING MEMBER, FINOP | 4870523 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Dec 2013About the Series 79 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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