Kevin 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.
Kevin Thompson was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2011. Kevin had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2015 - March 22, 2017
FIRSTPOINT FINANCIAL, LLC
March 17, 2015 - May 1, 2019
MARINER WEALTH
January 22, 2014 - January 21, 2016
FIRSTPOINT FINANCIAL, LLC
February 20, 2013 - March 31, 2018
MARINER WEALTH ADVISORS
February 15, 2013 - May 1, 2019
MSEC, LLC
May 22, 2012 - August 6, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
May 15, 2012 - August 6, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
October 24, 2011 - May 10, 2012
MML INVESTORS SERVICES, LLC
August 5, 2011 - May 10, 2012
MML INVESTORS SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRSTPOINT FINANCIAL, LLC
CRD#: 175252 / SEC#: 801-81098
Contact information
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.
