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SR

Steven M. Ramsey

THOMPSON RESEARCH GROUP
Nashville, TN 37203
Some features on this profile are disabled
CRD#: 6916453
SR

Professional summary

Steven Mack Ramsey is a registered financial professional currently at THOMPSON RESEARCH GROUP, LLC located in Nashville, Tennessee.

Steven is registered as a RR (Registered Representative) and started their career in finance in 2018. Steven has worked at 2 firms and has passed the Series 87, Series 86, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Steven Mack Ramsey's 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

December 4, 2025 - Present

THOMPSON RESEARCH GROUP, LLC

Office #1: 3322 West End Avenue Suite 360, Nashville, TN 37203
BD
CRD#: 337495
Nashville, TN
Past

June 26, 2018 - December 23, 2025

IRC SECURITIES LLC

BD
CRD#: 150022
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 87
Date: 12/18/2018
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 10/27/2018
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/26/2018
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TR
THOMPSON RESEARCH GROUP, LLC
THOMPSON RESEARCH GROUP, LLC | THOMPSON RESEARCH, LLC

CRD#: 337495 / SEC#: , 8-71392

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
3322 West End Avenue Suite 360, Nashville, TN 37203
Mailing Address
3322 West End Avenue Suite 360, Nashville, TN 37203
Phone number
(615) 891-6202
Established
Tennessee since 06/16/2025
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
THOMPSON, KATHRYN INGRAMPRESIDENT/CEO4430781
WHITE, CHRISTOPHER EARLMANAGING MEMBER/CHIEF COMPLIANCE OFFICER/AML OFFICER2283035
LUSTER, CAROLINE JENNIFERFINOP/PFO/POO6249048

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

THOMPSON RESEARCH GROUP, LLC

CRD#: 337495Nashville, TN 37203

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