Darrell L. 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.
Darrell Leon Thompson was a registered financial professional .
Darrell is a previously registered financial professional and started their career in finance in 1975. Darrell had worked at 9 firms and has passed the Series 63, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 13, 1999 - July 3, 2001
CUTTER & COMPANY, INC.
April 28, 1998 - April 20, 1999
MOLONEY SECURITIES CO., INC.
December 23, 1997 - April 21, 1998
KENNY SECURITIES CORP.
January 18, 1995 - December 1, 1997
JOHNSON RESEARCH & CAPITAL INCORPORATED
January 9, 1991 - November 4, 1994
RAUSCHER PIERCE REFSNES, INC.
September 30, 1989 - January 30, 1990
ADVEST, INC.
July 18, 1988 - September 30, 1989
NEWHARD, COOK & CO. INCORPORATED
February 1, 1988 - July 26, 1988
ROWLAND, SIMON & CO.
March 6, 1975 - February 1, 1988
R. ROWLAND & CO., INCORPORATED
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
PC
Date: 12/7/1989
AMEX Put and Call ExamSeries 1
Date: 2/22/1975
Registered Representative ExaminationCurrent Firm
CUTTER & COMPANY, INC.
CRD#: 22449 / SEC#: 801-62329, 8-39590
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,368 |
| AUM (Assets Under Management) | $ 937,030,989 |
Disclosures
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/13/2025 | ||
| 12/19/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
