Kendrick F. 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.
Kendrick F Thompson, who also goes by Tommy Thompson, was a registered financial advisor .
Kendrick is a previously registered financial advisor and started their career in finance in 1979. Kendrick had worked at 3 firms and has passed the Series 65, Series 63, Series 15, Series 5, 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
November 24, 2004 - September 10, 2009
MORGAN KEEGAN & COMPANY, LLC
November 19, 1984 - September 10, 2009
MORGAN KEEGAN & COMPANY, LLC
May 13, 1980 - December 7, 1984
MORGAN STANLEY DW INC.
November 1, 1979 - June 12, 1980
PRUDENTIAL EQUITY GROUP, 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
Series 15
Date: 8/24/1988
Foreign Currency Options ExaminationSeries 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 8
Date: 7/22/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
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.
