Di Thigpenshankles
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.
Di Thigpenshankles, who also goes by Di XIang Au, Di Xiang Au, Di Xiang Thigpen, Di Xiang Thigpen-shankles, was a registered financial professional .
Di is a previously registered financial professional and started their career in finance in 2007. Di had worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2020 - June 24, 2026
FULCRUM CAPITAL, LLC
August 30, 2018 - April 13, 2020
VIRIDIAN RIA, LLC
March 8, 2016 - August 13, 2018
RUSSELL INVESTMENTS
October 10, 2014 - August 13, 2018
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
April 19, 2013 - September 22, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
October 21, 2010 - March 25, 2013
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
April 6, 2007 - August 31, 2009
INVESCO DISTRIBUTORS, INC.
Primary Firm SEC Registration
FULCRUM CAPITAL, LLC
CRD#: 145322 / SEC#: 801-68459
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
FULCRUM CAPITAL, LLC
CRD#: 145322 / SEC#: 801-68459
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 632 |
| AUM (Assets Under Management) | $ 975,924,657 |
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.
