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DT

David M. Thompson

BENEFIT FINANCE SECURITIES
St. Louis, MO 63141-7164
Some features on this profile are disabled
CRD#: 5516583
DT

Professional summary

David Mark Thompson is a registered financial professional currently at BENEFIT FINANCE SECURITIES, LLC located in St. Louis, Missouri.

David is registered as a RR (Registered Representative) and started their career in finance in 2008. David has worked at 2 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Mark Thompson's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 3, 2023 - Present

BENEFIT FINANCE SECURITIES, LLC

Office #1: Six Cityplace Drive Suite 400, St. Louis, MO 63141-7164
BD
CRD#: 45113
St. Louis, MO
Past

May 9, 2008 - August 19, 2009

MONETA GROUP INVESTMENT ADVISORS, LLC

RIA
CRD#: 104727
CLAYTON, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Missouri
(10/16/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 10/16/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/8/2008
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/3/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/14/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/9/2013
National Commodity Futures Examination
SRO Registrations
RR
FINRA

Current Firm

BF
BENEFIT FINANCE SECURITIES, LLC
BENEFIT FINANCE SECURITIES, LLC

CRD#: 45113 / SEC#: , 8-50982

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
14605 N 73rd St, Scottsdale, AZ 85260
Mailing Address
14605 N 73rd St, Scottsdale, AZ 85260
Phone number
(480) 676-6400
Established
Missouri since 12/04/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (35 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BANCORP SERVICES, LLCDIRECT OWNER
DOHERTY, ERIN ECCO4576409

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.

Company Information

BENEFIT FINANCE SECURITIES, LLC

CRD#: 45113St. Louis, MO 63141-7164

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