Russell C. Tompkins
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.
Russell Clayton Tompkins was a registered financial professional .
Russell is a previously registered financial professional and started their career in finance in 1991. Russell had worked at 5 firms and has passed the SIE 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
March 7, 2014 - May 16, 2016
CLANCY FINANCIAL SERVICES, INC.
December 3, 2007 - January 8, 2008
E. H. SMITH JACOBS & CO., INC.
June 28, 2007 - November 30, 2007
FIS BROKERAGE & SECURITIES SERVICES LLC
December 3, 1993 - June 30, 2003
SARROFF, ALAN LEWIS
October 18, 1991 - April 25, 2007
A.L. SARROFF, 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
Current Firm
CLANCY FINANCIAL SERVICES, INC.
CRD#: 133379 / SEC#: , 8-66718
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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