Ryan E. 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.
Ryan Eric Thompson, who also goes by Ryan Thompson, was a registered financial professional .
Ryan is a previously registered financial professional and started their career in finance in 2007. Ryan had worked at 2 firms and has passed the Series 66 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
June 16, 2008 - November 13, 2012
LUMINOUS CAPITAL, LLC
March 6, 2007 - May 15, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 31, 2007 - May 15, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
LUMINOUS CAPITAL, LLC
CRD#: 145566 / SEC#: 801-68850
Contact information
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.
