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Detailed Report
VIRGINIA FRANCES THOMPSON
CRD#: 1834046
IA
Investment Adviser
B
Broker
SAXONY CAPITAL MANAGEMENT, LLCCRD#: 122692 Ft. Lauderdale, FL
SAXONY SECURITIES, INC.CRD#: 115547 Fort Lauderdale, FL
Registration History
19901995200020052010201520202025IASAXONY CAPITAL MANAGEMENT, LLC (CRD# 122692)2017 - Present (7 years)BSAXONY SECURITIES, INC. (CRD# 115547)2015 - Present (9 years)BJ.P. TURNER & COMPANY, L.L.C. (CRD# 43177)2009 - 2015 (5 years)BJANNEY MONTGOMERY SCOTT LLC (CRD# 463)2002 - 2009 (7 years)BRYAN, BECK & CO., LLC. (CRD# 3248)2002 - 2002 (<1 year)BGRUNTAL & CO., L.L.C. (CRD# 372)1997 - 2002 (5 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1992 - 1997 (5 years)BSMITH BARNEY, HARRIS UPHAM & C... (CRD# 7059)1989 - 1992 (2 years)BSHEARSON LEHMAN HUTTON INC. (CRD# 7506)1988 - 1989 (<1 year)IAJ P TURNER & COMPANY CAPITAL M... (CRD# 124446)2012 - 2015 (3 years)IAJANNEY MONTGOMERY SCOTT LLC (CRD# 463)2005 - 2009 (4 years)
Disclosure(s)
View By:
8/19/2010
Customer Dispute
Settled
8/5/2010
Regulatory
Final
11/3/1998
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 10/5/2015
B
Nevada 9/2/2015
B
Colorado 10/14/2015
B
New Jersey 10/14/2015
B
Connecticut 8/24/2015
B
New York 8/20/2015
B
Florida 8/21/2015
B
North Carolina 8/20/2015
IA
Florida 4/11/2017
B
Pennsylvania 1/2/2019
B
Georgia 9/2/2015
B
South Carolina 8/27/2015
B
Kentucky 9/3/2015
IA
Texas 1/2/2025
B
Michigan 8/20/2015
B
Virginia 9/8/2015

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SAXONY CAPITAL MANAGEMENT, LLC (CRD#:122692)
Ft. Lauderdale, FL
Registered with this firm since 4/11/2017
B
SAXONY SECURITIES, INC. (CRD#:115547)
Fort Lauderdale, FL
Registered with this firm since 8/20/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/26/2012 - 08/20/2015 J P TURNER & COMPANY CAPITAL MANAGEMENT, LLC (CRD#:124446) FT. LAUDERDALE, FL
B
 11/02/2009 - 08/20/2015 J.P. TURNER & COMPANY, L.L.C. (CRD#:43177) FT. LAUDERDALE, FL
IA
 05/27/2005 - 11/24/2009 JANNEY MONTGOMERY SCOTT LLC (CRD#:463) PONTE VEDRA BEACH, FL
B
 08/30/2002 - 11/24/2009 JANNEY MONTGOMERY SCOTT LLC (CRD#:463) PONTE VEDRA BEACH, FL
B
 04/29/2002 - 09/16/2002 RYAN, BECK & CO., LLC. (CRD#:3248) FLORHAM PARK, NJ
B
 05/08/1997 - 05/20/2002 GRUNTAL & CO., L.L.C. (CRD#:372) NEW YORK, NY
B
 04/20/1992 - 05/20/1997 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
 08/07/1989 - 04/23/1992 SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (CRD#:7059) NEW YORK, NY
B
 10/17/1988 - 08/23/1989 SHEARSON LEHMAN HUTTON INC. (CRD#:7506) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.