Richard H. 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.
Richard Hartwell Thompson, who also goes by Dick Thompson, was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1981. Richard had worked at 5 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2005 - February 22, 2006
AWM SERVICES, LLC
August 4, 2005 - February 22, 2006
AWM SERVICES, LLC
February 22, 2002 - August 17, 2005
CITIGROUP GLOBAL MARKETS INC.
February 22, 2002 - August 17, 2005
CITIGROUP GLOBAL MARKETS INC.
March 13, 2001 - March 7, 2002
CREDIT SUISSE SECURITIES (USA) LLC
April 3, 1990 - February 27, 2002
PERSHING LLC
January 31, 1984 - April 11, 1990
CITIGROUP GLOBAL MARKETS INC.
May 18, 1981 - February 10, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AWM SERVICES, LLC
CRD#: 6439 / SEC#: 801-61424, 8-17526
Contact information
Red Flags
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