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Dirk James Thompson

Nisa Investment Advisors, LLC

St. Louis, MO

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Current Employers
Nisa Investment Advisors, Llc

7676 Forsyth Blvd Suite 1100, St. Louis, MO 63105-4141 • United States

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2019-07-15
  • MO RA
    APPROVED
    Since 2019-07-15

Branch Locations

7676 Forsyth Blvd Suite 1100, St. Louis, MO 63105-4141 • 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
Nisa Investment Advisors, Llc Saint Louis MO 06/2011 Present
Previous Registrations
  • 2008-01-01 → 2010-05-05
    Wells Fargo Clearing Services, Llc
    Evansville, IN
    Evansville, IN
  • 2006-04-24 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    St. Louis, MO
    Evansville, IN
  • 2005-07-04 → 2006-04-11
    J.J.B. Hilliard, W.L. Lyons, Llc
    Louisville, KY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-07-01
  • S66 Uniform Combined State Law Examination
    2005-07-01
Designations
Other Names
  • Dirk James Thompson
  • Dirk James Thompson

View on SEC IAPD

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