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CT

Caleb J. Thompson

STARTENGINE PRIMARY
BURBANK, CA 91505
Some features on this profile are disabled
CRD#: 6588594
CT
Caleb Jon ThompsonSTARTENGINE PRIMARY

Professional summary

Caleb Jon Thompson, who also goes by Caleb Thompson, is a registered financial professional currently at STARTENGINE PRIMARY LLC located in Burbank, California.

Caleb is registered as a RR (Registered Representative) and started their career in finance in 2017. Caleb has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Aliases

Caleb Thompson

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Caleb Jon Thompson's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 25, 2026 - Present

STARTENGINE PRIMARY LLC

Office #1: 4100 W Alameda Avenue 3rd Floor, Burbank, CA 91505
BD
CRD#: 291773
BURBANK, CA
Past

June 7, 2018 - December 11, 2024

PRINCIPAL FUNDS DISTRIBUTOR, INC.

BD
CRD#: 43261
DES MOINES, IA
Past

April 28, 2017 - June 13, 2018

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
W DES MOINES, IA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(8/25/2026)
RR
Alaska
(8/25/2026)
RR
Arkansas
(8/25/2026)
RR
California
(8/25/2026)
RR
Colorado
(8/25/2026)
RR
Connecticut
(8/25/2026)
RR
Delaware
(8/25/2026)
RR
District of Columbia
(8/25/2026)
RR
Florida
(8/25/2026)
RR
Georgia
(8/25/2026)
RR
Hawaii
(8/25/2026)
RR
Idaho
(8/25/2026)
RR
Illinois
(8/25/2026)
RR
Indiana
(8/25/2026)
RR
Iowa
(8/25/2026)
RR
Kansas
(8/25/2026)
RR
Kentucky
(8/25/2026)
RR
Louisiana
(8/25/2026)
RR
Maine
(8/25/2026)
RR
Maryland
(8/25/2026)
RR
Massachusetts
(8/25/2026)
RR
Michigan
(8/25/2026)
RR
Minnesota
(8/25/2026)
RR
Mississippi
(8/25/2026)
RR
Missouri
(8/25/2026)
RR
Montana
(8/25/2026)
RR
Nebraska
(8/25/2026)
RR
Nevada
(8/25/2026)
RR
New Hampshire
(8/25/2026)
RR
New Jersey
(8/25/2026)
RR
New Mexico
(8/25/2026)
RR
New York
(8/25/2026)
RR
North Carolina
(8/25/2026)
RR
North Dakota
(8/25/2026)
RR
Ohio
(8/25/2026)
RR
Oklahoma
(8/25/2026)
RR
Oregon
(8/25/2026)
RR
Pennsylvania
(8/25/2026)
RR
Rhode Island
(8/25/2026)
RR
South Carolina
(8/25/2026)
RR
South Dakota
(8/25/2026)
RR
Tennessee
(8/25/2026)
RR
Texas
(8/25/2026)
RR
Utah
(8/25/2026)
RR
Vermont
(8/25/2026)
RR
Virginia
(8/25/2026)
RR
Washington
(8/25/2026)
RR
West Virginia
(8/25/2026)
RR
Wisconsin
(8/25/2026)
RR
Wyoming
(8/25/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 1/31/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/1/2018
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/28/2017
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SP
STARTENGINE PRIMARY LLC
STARTENGINE PRIMARY LLC

CRD#: 291773 / SEC#: , 8-70060

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
4100 W Alameda Avenue 3rd Floor, Burbank, CA 91505
Mailing Address
4100 W Alameda Avenue 3rd Floor, Burbank, CA 91505
Phone number
(800) 469-5785
Established
Delaware since 10/12/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
STARTENGINE CROWDFUNDING INC.SOLE SHAREHOLDER
MARKS, HOWARD EDWARDCEO6617096
REYES, JONATHAN ALEXANDERCCO6654501
STRASSMAN, HUNTER DALLASFINOP6867203

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.

Company Information

STARTENGINE PRIMARY LLC

CRD#: 291773Burbank, CA 91505

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