John E. 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 Edward Thompson, who also goes by John E Thompson, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1978. John had worked at 14 firms and has passed the Series 63, Series 66, Series 65, Series 7TO, SIE, Series 6, Series 7 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
November 17, 2021 - November 21, 2023
FINALIS SECURITIES LLC
August 27, 2019 - November 15, 2021
AVALON SECURITIES, LTD.
March 31, 2014 - November 4, 2014
PARK AVENUE SECURITIES LLC
March 28, 2003 - July 23, 2004
EATON VANCE DISTRIBUTORS, INC.
July 27, 1998 - January 14, 2000
BERKELEY INTERNATIONAL SECURITIES CORPORATION
October 26, 1992 - April 26, 1996
PRUDENTIAL EQUITY GROUP, LLC
October 25, 1990 - October 2, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 6, 1990 - October 23, 1990
SPALDING & COMPANY
July 28, 1989 - March 14, 1990
LINCOLN FINANCIAL DISTRIBUTORS, INC.
June 24, 1985 - October 27, 1987
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
February 23, 1981 - June 19, 1985
E. F. HUTTON & COMPANY INC
March 9, 1978 - February 22, 1981
AMERICAN EXPRESS FINANCIAL CORPORATION
March 9, 1978 - February 22, 1981
AMERIPRISE FINANCIAL SERVICES, LLC
March 9, 1978 - February 22, 1981
IDS LIFE INSURANCE COMPANY
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 7TO
Date: 8/15/2019
General Securities Representative ExaminationSeries 1
Date: 3/2/1978
Registered Representative ExaminationCurrent Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
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