Patrick A. Thompson
Professional summary
Patrick Allen Thompson is a registered financial advisor currently at SENTIENT FINANCIAL, LLC located in Laguna Niguel, California.
Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Patrick has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Allen Thompson's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 12, 2018 - Present
SENTIENT FINANCIAL, LLC
Office #1: 28202 Cabot Road Suite 300, Laguna Niguel, CA 92677July 23, 2012 - February 12, 2018
FORESTERS EQUITY SERVICES, INC.
July 23, 2012 - February 12, 2018
FORESTERS EQUITY SERVICES, INC.
July 13, 2012 - July 19, 2012
INDEPENDENT FINANCIAL GROUP, LLC
August 14, 2009 - July 19, 2012
INDEPENDENT FINANCIAL GROUP, LLC
March 19, 2008 - August 17, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(3/12/2018)
Exams
Current Firm
SENTIENT FINANCIAL, LLC
CRD#: 292766 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 25 |
| AUM (Assets Under Management) | $ 15,605,905 |
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.
