Warren R. 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.
Warren Ronald Thompson was a registered financial advisor .
Warren is a previously registered financial advisor and started their career in finance in 1978. Warren had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2006 - August 2, 2007
PEAK SECURITIES CORPORATION
April 30, 2003 - March 15, 2005
GIRARD SECURITIES, INC.
January 24, 1984 - October 10, 2002
PRUDENTIAL EQUITY GROUP, LLC
November 8, 1983 - October 10, 2002
PRUDENTIAL EQUITY GROUP, LLC
September 26, 1978 - November 30, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 25, 1978 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Series 8
Date: 1/30/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PEAK SECURITIES CORPORATION
CRD#: 107907 / SEC#: , 8-53066
Contact information
Documents
Disclosures
| Arbitration | 1 |
Red Flags
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