Adam 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.
Adam E Thompson, who also goes by Adam Edward Thompson, was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2019. Adam had worked at 2 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2021 - August 17, 2022
OXINAS PARTNERS WEALTH MANAGEMENT
April 29, 2019 - September 16, 2021
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
OXINAS PARTNERS WEALTH MANAGEMENT
CRD#: 297462 / SEC#: 801-113877
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 6TO
Date: 4/27/2019
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
OXINAS PARTNERS WEALTH MANAGEMENT
CRD#: 297462 / SEC#: 801-113877
Contact information
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,706 |
| AUM (Assets Under Management) | $ 344,596,274 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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