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Current Employers
Thompson Financial Advisors

N. Chesterfield, VA • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2022-09-16
  • VA RA
    APPROVED
    Since 2022-09-16

Branch Locations

N. Chesterfield, VA • United States

North Chesterfield, VA • 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
Stuart Financial Corp. Norcross GA 03/2004 Present
Great American Advisors, Inc. Cincinnati OH 12/2006 Present
Thompson Financial Advisors North Chesterfield VA 02/2022 Present
  • 03/2004 → Present
    Stuart Financial Corp.
    Norcross, GA
  • 12/2006 → Present
    Great American Advisors, Inc.
    Cincinnati, OH
  • 02/2022 → Present
    North Chesterfield, VA
Other Businesses

DTFinancial, Insurance business, Address: 9625 Ransom Hills Terr, N. Chesterfield Va. 23237/Nature of the business is insurance/Owner of the business/Start date: Oct 2003/I put around 20 hrs a week in to the business and devote around 10 hours during trading time. My duties consist of managing the business and selling insurance as well.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-02-15
S63 Uniform Securities Agent State Law Examination 2020-10-21
  • S65 Uniform Investment Adviser Law Examination
    2021-02-15
  • S63 Uniform Securities Agent State Law Examination
    2020-10-21

View on SEC IAPD

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