Andrew J. Thompson
Professional summary
Andrew J. Thompson, who also goes by Andrew Justin Thompson, Andrew Thompson, is a registered financial professional currently at CAPE SECURITIES INC. located in Wausau, Wisconsin.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2012. Andrew has worked at 2 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew J. Thompson's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 16, 2022 - Present
CAPE SECURITIES INC.
Office #1: 1488 Merrill Ave, Wausau, WI 54401Office #2: 1094 South Gilbert Road #201, Gilbert, AZ 85296January 2, 2020 - September 23, 2022
PFS INVESTMENTS INC.
July 13, 2012 - September 23, 2022
PFS INVESTMENTS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/16/2022)
(2/22/2023)
(9/16/2022)
Exams
FINRA
Current Firm
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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