Stephen Peter Thompson
Professional Summary
Stephen Peter Thompson is a registered financial advisor currently at PUMA CAPITAL, LLC located in Rye, New York and PCA CAPITAL SECURITIES, LLC located in Melville, New York. Stephen is registered as a RR (Registered Representative) and started their career in finance in 2016. Stephen has worked at 2 firms and has passed the SIE, Series 99TO and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
10 years in the financial services industry
Current & Past Employments
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Current Firm
HALYARD SECURITIES, LLC | PCA CAPITAL SECURITIES, LLC
Contact Information
Main Address
900 Walt Whitman Rd. Suite 309, Melville, NY 11747Mailing Address
900 Walt Whitman Rd. Suite 309, Melville, NY 11747Phone Number
(212) 476-9300Established
Delaware since 06/30/2004Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Stephen Peter Thompson's CRS (Customer Relationship Summary).
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