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Judy Ann Thompson

LPl Financial LLC

Batavia, NY

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-03
  • NY RA
    APPROVED
    Since 2021-08-03

Branch Locations

216 E Main St Ste 2, Batavia, NY 14020-2221 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Batavia NY 11/2011 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-11-08
S63 Uniform Securities Agent State Law Examination 1995-07-27
  • S66 Uniform Combined State Law Examination
    2009-11-08
  • S63 Uniform Securities Agent State Law Examination
    1995-07-27
Other Names
  • Judy A Bauer
  • Judy Ann Bauer
  • Judy A Thompson

View on SEC IAPD

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LPL ENTERPRISE, LLC
COMMONWEALTH FINANCIAL NETWORK
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
EQUITABLE ADVISORS, LLC
PRINCIPAL SECURITIES, INC.
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Other Investors

David W Hall
Michael Robert Marsh
ANTHONY VINCENT MANCUSO
Angel Palacios
Dylan Joy
EDWARD LISOWSKI
Michael Battaglia
SHARI LYNN SALIM

Other Offices

EDWARD JONES · BATAVIA, NY
AMERIPRISE FINANCIAL SERVICES, LLC · BATAVIA, NY
LPL FINANCIAL LLC · BATAVIA, NY
LPL ENTERPRISE, LLC · BATAVIA, NY
AMERIPRISE FINANCIAL SERVICES, LLC · Batavia, NY
COMMONWEALTH FINANCIAL NETWORK · Batavia, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · BATAVIA, NY
EQUITABLE ADVISORS, LLC · BATAVIA, NY

More in Batavia, NY

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