Latoya N. 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.
Latoya Nichelle Thompson, who also goes by Latoya Thompson, was a registered financial professional .
Latoya is a previously registered financial professional and started their career in finance in 2008. Latoya had worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2013 - March 26, 2015
PFM FUND DISTRIBUTORS, INC.
August 26, 2008 - March 6, 2012
VANGUARD MARKETING CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
PFM FUND DISTRIBUTORS, INC.
CRD#: 114474 / SEC#: , 8-53496
Contact information
Documents
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.
