Individual Firm
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RICHARD ALLAN THOMPSON
CRD#: 2293210
IA
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RESONANT CAPITAL ADVISORS, LLCCRD#: 298451 33 East Main Street
Suite 440
Madison, WI 53703
Suite 440
Madison, WI 53703
0
Disclosures
27
Years of Experience
View By:
State Registrations
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Wisconsin 10/23/2018
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Registered with this firm since 10/23/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/14/2018 - 12/18/2018 | MADISON, WI | |
B | 02/14/2018 - 12/18/2018 | MADISON, WI | |
IA | 07/12/2012 - 02/15/2018 | MADISON, WI | |
B | 07/12/2012 - 02/14/2018 | MADISON, WI | |
IA | 06/01/2009 - 07/17/2012 | MADISON, WI | |
B | 06/01/2009 - 07/17/2012 | MADISON, WI | |
IA | 04/02/2007 - 06/01/2009 | MADISON, WI | |
B | 04/02/2007 - 06/01/2009 | MADISON, WI | |
IA | 08/13/2004 - 04/02/2007 | MADISON, WI | |
B | 08/13/2004 - 04/02/2007 | MADISON, WI | |
IA | 03/24/2004 - 08/18/2004 | MADISON, WI | |
B | 01/12/2004 - 08/18/2004 | NEW YORK, NY | |
B | 12/17/1992 - 04/19/1999 | MORRIS PLAINS, NJ |
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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.
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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.