Steven W. Thompson
Professional summary
Steven William Thompson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 2020. Prior to being barred, Steven had worked at 3 firms, which includes NETWORK 1 FINANCIAL SECURITIES INC., SW FINANCIAL, WORDEN CAPITAL MANAGEMENT LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2022 - June 10, 2022
NETWORK 1 FINANCIAL SECURITIES INC.
August 24, 2020 - December 23, 2021
SW FINANCIAL
January 27, 2020 - August 28, 2020
WORDEN CAPITAL MANAGEMENT LLC
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 7TO
Date: 1/27/2020
General Securities Representative ExaminationCurrent Firm
NETWORK 1 FINANCIAL SECURITIES INC.
CRD#: 13577 / SEC#: , 8-29471
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 21 |
| Arbitration | 4 |
Red Flags
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