Robert W. 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.
Robert Wayne Thompson, who also goes by Bob Thompson, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1980. Robert had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2015 - October 28, 2025
ON INVESTMENT MANAGEMENT CO
January 9, 2015 - October 28, 2025
THE O.N. EQUITY SALES COMPANY
August 15, 2013 - December 31, 2014
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
August 15, 2013 - December 31, 2014
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
May 31, 2011 - August 16, 2013
J. W. COLE ADVISORS, INC.
May 31, 2011 - August 16, 2013
J.W. COLE FINANCIAL, INC.
May 24, 2006 - June 2, 2011
WALNUT STREET SECURITIES, INC.
February 24, 1997 - November 3, 2006
WALNUT STREET ADVISERS INC
July 11, 1990 - June 2, 2011
WALNUT STREET SECURITIES, INC.
March 24, 1987 - June 20, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 24, 1987 - June 20, 1990
EQUITABLE ADVISORS, LLC
October 20, 1980 - June 14, 1984
EQUITABLE ADVISORS, LLC
August 14, 1980 - June 14, 1984
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
Primary Firm SEC Registration
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
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: 8/8/1980
Registered Representative ExaminationCurrent Firm
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,053 |
| AUM (Assets Under Management) | $ 2,376,953,646 |
Red Flags
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