Peter Carroll Thompson

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2019-11-06

FL RA
APPROVED

Since 2019-11-06

Branch Locations

Naples, FL • 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
National Planning Corporation	Westport	CT	03/2006	Present
Lpl Financial Llc	Westport	CT	11/2017	Present

03/2006 → Present

National Planning Corporation

Westport, CT
11/2017 → Present

Lpl Financial Llc

Westport, CT

Previous Registrations

2006-04-03 → 2017-12-05

National Planning Corporation

Milford, CT

South Windsor, CT

Westport, CT

Los Angeles, CA
2003-07-02 → 2006-04-03

Osaic Fs, Inc.

Westport, CT
1999-03-24 → 2003-01-17

Polaris Advisory Services Inc

Norwalk, CT

Other Businesses

1. 11/29/2017 - Pete Thompson Wealth Management - Investment Related - Non-Variable Insurance - 40 Hours Per Month - Time Spent 25% - Life, Health, Fixed Annuities.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1995-05-01

S63 Uniform Securities Agent State Law Examination

1995-05-01

Designations

View on SEC IAPD