Guy Martin Thompson

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
AR	RA	APPROVED	2021-07-21
TX	RA	APPROVED_RES	2021-07-21

AR RA
APPROVED

Since 2021-07-21
TX RA
APPROVED_RES

Since 2021-07-21

Branch Locations

Grapevine, TX • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Rbc Capital Markets, Llc	Plano	TX	03/1998	11/2020
Waddell & Reed, Inc.	Searcy	AR	11/2020	07/2021
Various Insurance Carriers For W&R Insurance Agencies	Searcy	AR	11/2020	07/2021
Lpl Financial Llc	Searcy	AR	07/2021	Present

03/1998 → 11/2020

Rbc Capital Markets, Llc

Plano, TX
11/2020 → 07/2021

Waddell & Reed, Inc.

Searcy, AR
11/2020 → 07/2021

Various Insurance Carriers For W&R Insurance Agencies

Searcy, AR
07/2021 → Present

Lpl Financial Llc

Searcy, AR

Previous Registrations

2020-11-20 → 2021-07-21

Waddell & Reed

Searcy, AR

Edmond, OK
1998-01-02 → 2020-11-23

Rbc Capital Markets, Llc

Frisco, TX

Plano, TX

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-12-26
S63	Uniform Securities Agent State Law Examination	1983-10-17

S65 Uniform Investment Adviser Law Examination

1995-12-26
S63 Uniform Securities Agent State Law Examination

1983-10-17

Other Names

Marty Thompson

View on SEC IAPD