John A. 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.
John Alfred Thompson, who also goes by B John Thompson, John A Thompson, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1981. John had worked at 4 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 1996 - September 11, 1996
POLARIS FINANCIAL SERVICES, INC.
January 17, 1991 - July 21, 1995
SUNAMERICA SECURITIES, INC.
April 2, 1981 - December 6, 1990
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 2, 1981 - December 6, 1990
SIGNATOR INVESTORS, 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
Current Firm
POLARIS FINANCIAL SERVICES, INC.
CRD#: 14521 / SEC#: , 8-29480
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE POLARIS GROUP, INC. | PARENT | |
| JEFFERSON PILOT SECURITIES CORPORATION | STOCKHOLDER | 3870 |
| ANGARELLA, RONALD RICHARD | CHAIRMAN, PRESIDENT | 1785580 |
| ARMSTRONG, DAVID EDWARD | ASSISTANT VICE PRESIDENT, MARKETING | 2465424 |
| BOOTH, DAVID KENNETH | VICE PRESIDENT, MARKETING | 2030529 |
| BOULTER, WARREN THOMAS | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 26914 |
| CLIFFORD, LISA SCHLOSSER | ASSISTANT VICE PRESIDENT, COMPLIANCE | 1745774 |
| HARDIMAN, CAROL ROBINSON | VICE PRESIDENT, ADMINISTRATION | 831061 |
| LEASE, SHARI JANE | SECRETARY | 2631744 |
| MURRAY, MICHAEL FRANCIS | ASSISTANT VICE PRESIDENT, INVESTMENT OPERATIONS | 2074275 |
| WALCZAK, ROBERT JOSEPH | OFFICER FOR INSURANCE PURPOSES | 456804 |
| WESTON, JOHN ARTHUR | TREASURER | 1244146 |
| WILBUR, DONNA MANNING | ASSISTANT TREASURER | 2475466 |
Disclosures
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
