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1355 Greenwood Cliff Ste. 301, Charlotte, NC 28204 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| LA | RA | APPROVED | 2016-03-29 |
| TX | RA | APPROVED | 2008-10-13 |
| NC | RA | APPROVED | 2008-02-15 |
Branch Locations
1355 Greenwood Cliff Ste. 301, Charlotte, NC 28204 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Laurel Wealth Advisors, Llc | Charlotte | NC | 02/2008 | Present |
Mark Thompson is a passive Investor with Laurel Avenue T-1 Investors, LLC which is a Software and Hardware development company. No time is spent on this activity during or outside of trading hours. He received no yearly compensation. Mark Thompson is a passive investor for Daisy Dog, LLC which is a passive investment of CXL Ophthalmics, LLC which develops treatments for eye disease. No time is spent per month on this activity during and outside of trading hours. He receives no yearly compensation for this activity.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-10-12 |
| S63 | Uniform Securities Agent State Law Examination | 1998-01-19 |
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