Joseph Frederick Thompson

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
MO	RA	APPROVED	2023-06-29
TX	RA	APPROVED_RES	2023-06-29

MO RA
APPROVED

Since 2023-06-29
TX RA
APPROVED_RES

Since 2023-06-29

Branch Locations

St Louis, MO • 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

Organization	City	State	From	To
Cetera Wealth Services, Llc	El Segundo	CA	09/2013	Present
Paramount Financial Llc	St. Louis	MO	03/1997	01/2021
Cetera Investment Advisers Llc	Schaumburg	IL	06/2023	Present

09/2013 → Present

Cetera Wealth Services, Llc

El Segundo, CA
03/1997 → 01/2021

Paramount Financial Llc

St. Louis, MO
06/2023 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2010-02-22 → 2021-01-12

Paramount Financial Llc

St. Louis, MO

St. Louis, MO
2010-08-23 → 2013-09-03

Walnut Street Securities, Inc.

St Louis, MO

St Louis, MO

Other Businesses

(1) INDEPENDENT INSURANCE, INVESTMENT RELATED, THROUGH THOMPSON FINANCIAL (FROM HOME ADDRESS)0HR/WK DURING SECURITIES TRADING HOURS & 1HR/WKND & EVENINGS SINCE 07/1993 (2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 07/1993; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS; (3) NAME OF OTHER BUSINESS: MEMORIAL PRESBYTERIAN CHURCH INVESTMENT RELATED: NO, ADDRESS: 201 S SKINKER, ST LOUIS, MO, 63105 NATURE OF BUSINESS: RELIGIOUS START DATE: 10/2019 POSITION/TITLE/RELATIONSHIP: RULING ELDER APX NUMBER OF HOURS PER WEEK: 4 NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: SPIRITUAL CARE FOR MEMBERS OF CONGREGATION (4) NAME OF OTHER BUSINESS: MEMORIAL PRESBYTERIAN CHURCH OF SAINT LOUIS; INVESTMENT RELATED: NO; ADDRESS: 201 S SKINKER BLVD ST. LOUIS, MO 63105; NATURE OF BUSINESS: RELIGIOUS ORGAIZATION; START DATE: 01/2026; POSITION/TITLE/RELATIONSHIP: TRUSTEE/SECRETARY; APX NUMBER OF HOURS PER WEEK: 4; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: VOTE WITH TRUSTEES ON ANY MAJOR FINANCIAL DECISIONS FOR THE CHURCH, RECORD MINUTES OF THE CHURCH'S OFFICIAL BUSINESS MEETINGS, BE A POINT OF CONTACT FOR CHURCH BUSINESS;

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-01-23
S63	Uniform Securities Agent State Law Examination	1993-10-28

S65 Uniform Investment Adviser Law Examination

2010-01-23
S63 Uniform Securities Agent State Law Examination

1993-10-28

Other Names

Joseph Fredrick Thompson
Joseph Frederick Jr Thompson

View on SEC IAPD