William E. 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.
William Edward Thompson SR, who also goes by Bill Thompson Sr, William Edward Thompson, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1967. William had worked at 9 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2013 - October 27, 2016
THE INVESTMENT CENTER, INC.
June 14, 2002 - December 31, 2012
VFINANCE INVESTMENTS, INC
December 22, 2000 - June 14, 2002
SOMERSET FINANCIAL GROUP, INC.
July 23, 1999 - November 2, 2000
NATIONAL PLANNING CORPORATION
July 10, 1991 - July 27, 1999
OSAIC WEALTH, INC.
October 15, 1986 - July 10, 1991
VFS SECURITIES CORP.
June 1, 1973 - August 8, 1986
L. L. FANE & CO., INC.
November 16, 1972 - July 6, 1973
HALLE & STIEGLITZ INC
September 12, 1967 - July 27, 1972
G. N. MERGOTT & CO., 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
Series 1
Date: 8/7/1957
Registered Representative ExaminationCurrent Firm
THE INVESTMENT CENTER, INC.
CRD#: 17839 / SEC#: , 8-35826
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 5 |
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.
