Kimberly J. 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.
Kimberly Jessica Thompson, who also goes by Kimberly Jessica Nejati, Jessica Kimberly Nejati, Kimberly Thompson, was a registered financial professional .
Kimberly is a previously registered financial professional and started their career in finance in 2019. Kimberly had worked at 2 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2022 - February 20, 2023
TD AMERITRADE, INC.
November 18, 2020 - July 2, 2024
CHARLES SCHWAB & CO., INC.
September 13, 2019 - July 2, 2024
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 9/13/2019
General Securities Representative ExaminationCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 83 |
| Civil Event | 1 |
| Arbitration | 144 |
Red Flags
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