Sean James Thompson

Current Employers

Raymond James (Usa) Ltd.

2100-925 West Georgia Street, Vancouver V6C3L2 • Canada

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2012-06-20

CA RA
APPROVED

Since 2012-06-20

Branch Locations

Suite 2100 925 West Georgia Street, Vancouver, Bc V6C 3L2 • Canada

925 West Georgia Street - 2100, Vancouver, B.C. V6C 3L2 • CANADA

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

Organization	City	State	From	To
Raymond James Ltd	Vancouver		07/2004	Present
Raymond James (Usa) Ltd	Vancouver, British Columbia		03/2010	Present

07/2004 → Present

Raymond James Ltd

Vancouver
03/2010 → Present

Raymond James (Usa) Ltd

Vancouver, British Columbia

Other Businesses

(1)RAYMOND JAMES LTD ("RJL"), A REGISTERED INVESTMENT DEALER WITH IIROC, IS THE CANADIAN AFFILIATE AND PARENT COMPANY OF RAYMOND JAMES (USA) LTD. THE BUSINESS IS INVESTMENT RELATED. SEAN THOMPSON IS LOCATED AT SUITE 2100 - 925 WEST GEORGIA ST. VANCOUVER BC CANADA V6C 3L2 AND HAS BEEN EMPLOYED SINCE 07/04/2004. HE IS A FULL TIME EMPLOYEE AND HIS TITLE WITH RJL IS Branch COMPLIANCE Manager. HE DEVOTES 140 HOURS A MONTH TO THIS BUSINESS DURING BUSINESS AND TRADING HOURS. HIS JOB DUTIES ARE: Branch COMPLIANCE Manager.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-12-15

S66 Uniform Combined State Law Examination

2011-12-15