Richard H. 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.
Richard Harte Thompson III, who also goes by Harte Thompson, Richard Harte Thompson III, Richard Harte Thompson, Richard Thompson, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2017. Richard had worked at 2 firms and has passed the Series 63, SIE and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2024 - October 1, 2024
FORO CAPITAL MARKETS, LLC
November 14, 2017 - March 8, 2024
CITIGROUP GLOBAL MARKETS 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
Exams
Current Firm
FORO CAPITAL MARKETS, LLC
CRD#: 311125 / SEC#: , 8-70600
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORO CAPITAL MARKETS HOLDINGS, INC. | SOLE MEMBER HOLDING COMPANY | |
| MARR, MICHAEL STEWART | CHIEF FINANCIAL OFFICER, FINOPS; CHIEF COMPLIANCE OFFICER | 6030349 |
Red Flags
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