Eric A. 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.
Eric Alan Thompson, who also goes by Eric Thompson, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2015. Eric had worked at 3 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
December 9, 2016 - August 24, 2018
TD AMERITRADE, INC.
December 9, 2016 - August 24, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 9, 2016 - August 24, 2018
TD AMERITRADE, INC.
April 28, 2015 - November 1, 2016
EDWARD JONES
February 4, 2015 - November 1, 2016
EDWARD JONES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
