Malcolm F. 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.
Malcolm Fredrick Thompson, who also goes by Malcolm Frederick Thompson, was a registered financial professional .
Malcolm is a previously registered financial professional and started their career in finance in 2007. Malcolm had worked at 3 firms and has passed the Series 63, SIE, Series 79 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
December 13, 2013 - December 16, 2013
FIRST CRAFT SECURITIES, LLC
December 13, 2013 - November 5, 2018
ALTACCESS SECURITIES COMPANY, L.P.
January 25, 2007 - August 4, 2009
HARRIS WILLIAMS
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
FIRST CRAFT SECURITIES, LLC
CRD#: 159680 / SEC#: , 8-69006
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONWAY, DANIEL S | CCO, MANAGING MEMBER, FINOP | 4870523 |
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.
