Richard F. Thompson
Professional summary
Richard Frank Thompson JR., who also goes by Richard Frank Thompson, is a registered financial professional currently at FOCUS SECURITIES LLC located in Gainesville, Virginia.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2010. Richard has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Frank Thompson JR.'s CRS (Customer Relationship Summary).
Certified licenses
Experience
January 28, 2010 - Present
FOCUS SECURITIES LLC
Office #1: 7371 Atlas Walk Way #259, Gainesville, VA 20155State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/5/2024)
(1/28/2022)
(1/21/2020)
(7/31/2019)
(8/5/2024)
(2/6/2012)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 8/8/2009
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
FOCUS SECURITIES LLC
CRD#: 150589 / SEC#: , 8-68273
Contact information
FINRA licenses (46 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FOCUS HOLDINGS USA, INC. | OWNER | |
| BEARD, ROBERT GLENN | PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER | 5771682 |
| THOMPSON, RICHARD FRANK JR. | FINOP, ER |
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.
