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Stephen Barry Thompson

Charles Schwab & Co., Inc.

Portland, ME

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-03-27
ME RA APPROVED 2022-01-26
  • TX RA
    APPROVED_RES
    Since 2026-03-27
  • ME RA
    APPROVED
    Since 2022-01-26

Branch Locations

100 Commercial Street Suite 106, Portland, ME 04101-4724 • 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
Scottrade Inc South Portland ME 09/2015 09/2018
Td Ameritrade, Inc. South Portland ME 02/2018 12/2022
Td Ameritrade Investment Management, Llc Omaha NE 02/2018 12/2022
Charles Schwab And Co., Inc. South Portland ME 12/2022 Present
Charles Schwab Bank, Ssb South Portland ME 12/2022 Present
  • 09/2015 → 09/2018
    Scottrade Inc
    South Portland, ME
  • 02/2018 → 12/2022
    Td Ameritrade, Inc.
    South Portland, ME
  • 02/2018 → 12/2022
    Td Ameritrade Investment Management, Llc
    Omaha, NE
  • 12/2022 → Present
    Charles Schwab And Co., Inc.
    South Portland, ME
  • 12/2022 → Present
    Charles Schwab Bank, Ssb
    South Portland, ME
Previous Registrations
  • 2018-02-26 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Omaha, NE
    South Portland, ME
    Portland, ME
  • 2018-02-27 → 2022-10-14
    Td Ameritrade, Inc.
    Portland, ME
    Omaha, NE
  • 2017-02-07 → 2018-02-26
    Scottrade Investment Management
    Saint Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-02-06
S63 Uniform Securities Agent State Law Examination 2015-12-18
  • S66 Uniform Combined State Law Examination
    2017-02-06
  • S63 Uniform Securities Agent State Law Examination
    2015-12-18
Other Names
  • Stephen Barry Thompson

View on SEC IAPD

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PORTLAND FINANCIAL PLANNING GROUP · PORTLAND, ME
PORTLAND FINANCIAL PLANNING GROUP · PORTLAND, ME
J.P. MORGAN SECURITIES LLC · Portland, ME
GREAT DIAMOND PARTNERS, LLC · PORTLAND, ME
HARBOR INVESTMENT ADVISORS · PORTLAND, ME
BIGELOW INVESTMENT ADVISORS, LLC · PORTLAND, ME
BIGELOW INVESTMENT ADVISORS, LLC · Portland, ME
MASCOMA WEALTH MANAGEMENT · Portland, ME

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