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Stephany LeMay Thompson
STEPHANY LEMAY THOMPSON, Stephany Thompson
CRD#: 1492593
IA
B
MORGAN STANLEYCRD#: 149777 1333 North California Boulevard
Suite 133
Walnut Creek, CA 94596
Suite 133
Walnut Creek, CA 94596
0
Disclosures
38
Years of Experience
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State Registrations
B
Alabama 5/18/2022
B
Nebraska 11/18/2022
B
Arizona 8/9/2022
B
Nevada 10/7/2019
B
California 3/2/2017
B
New Hampshire 12/5/2023
IA
California 3/2/2017
B
New Jersey 11/7/2022
B
Colorado 5/23/2018
B
New Mexico 11/18/2022
B
Connecticut 7/19/2024
B
New York 1/2/2018
B
Delaware 8/22/2023
B
North Carolina 9/10/2021
B
District of Columbia 3/22/2024
B
Ohio 11/19/2022
B
Florida 11/18/2022
B
Oklahoma 11/18/2022
B
Georgia 11/1/2023
B
Oregon 9/14/2022
B
Hawaii 11/18/2022
B
Pennsylvania 7/16/2024
B
Idaho 11/18/2022
B
Rhode Island 11/18/2022
B
Illinois 5/15/2017
B
South Carolina 11/18/2022
B
Iowa 7/19/2017
B
Tennessee 11/28/2022
B
Kansas 11/18/2022
B
Texas 5/15/2017
B
Louisiana 5/7/2024
IA
Texas 5/15/2017
B
Maine 8/21/2023
B
Utah 8/9/2023
B
Maryland 11/28/2022
B
Vermont 1/27/2025
B
Massachusetts 12/13/2019
B
Virginia 11/18/2022
B
Michigan 6/9/2022
B
Washington 10/20/2020
B
Minnesota 4/16/2019
B
Wisconsin 9/14/2022
B
Missouri 11/18/2022
B
Wyoming 10/17/2022
B
Montana 11/28/2022
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 3/2/2017
B
Registered with this firm since 3/2/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/12/1998 - 11/15/2016 | CONCORD, CA | |
B | 05/05/1986 - 11/15/2016 | SAN FRANCISCO, CA |
SAN FRANCISCO, CA
05/05/1986 - 11/15/2016
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.