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John Shannon Thompson

LPl Financial LLC

Memphis, TN

Germantown, TN

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-07-19
TN RA APPROVED 2004-03-26
  • TX RA
    APPROVED_RES
    Since 2017-07-19
  • TN RA
    APPROVED
    Since 2004-03-26

Branch Locations

6075 Poplar Ave Ste 103, Memphis, TN 38119-0109 • United States

Germantown, TN • 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
Lpl Financial, Llc (Formerly: Linsco/Private Ledger) Memphis TN 05/2002 Present
  • 05/2002 → Present
    Lpl Financial, Llc (Formerly: Linsco/Private Ledger)
    Memphis, TN
Other Businesses

(1) 02/14/2012 * NO BUSINESS NAME * DBA for LPL Business (entity for LPL business) * Thompson Wealth Management, LLC.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-20
S63 Uniform Securities Agent State Law Examination 1996-04-03
  • S65 Uniform Investment Adviser Law Examination
    1999-12-20
  • S63 Uniform Securities Agent State Law Examination
    1996-04-03

View on SEC IAPD

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INDEPENDENT FINANCIAL GROUP, LLC
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
COORDINATED CAPITAL SECURITIES, INC.

Other Investors

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MARGARET MCCARVER
DEANNA NICOLE MUSSO
ROBERT BRIAN REECE
MARTY CARLIS GREEN
MONICA BETH WIESEL
CHARLES DALE WATSON

Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · MEMPHIS, TN
RAYMOND JAMES & ASSOCIATES, INC. · MEMPHIS, TN
NEWSOUTH CAPITAL MANAGEMENT INC · MEMPHIS, TN
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Memphis, TN
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Memphis, TN
PRIVATE ADVISOR GROUP, LLC · Memphis, TN
LPL FINANCIAL LLC · MEMPHIS, TN
B. RILEY WEALTH ADVISORS, INC. · Memphis, TN

More in Memphis, TN

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