• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Robert E. Thompson
BOB THOMPSON, ROBERT E THOMPSON II, ROBERT E THOMPSON III, ROBERT E THOMPSON JR, ROBERT EARL THOMPSON
CRD#: 3038996
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 685 ST CLAIR ST
GROSSE POINTE, MI 48230
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1998 - 2004 (5 years)2 FIRMS2014 - Present (10 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)2004 - 2014 (10 years)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2010 - 2014 (4 years)
Disclosure(s)
View By:
5/30/2008
Customer Dispute
Settled
2/7/2005
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 8/30/2018

B
New York 8/6/2014

B
Arizona 8/7/2014

B
North Carolina 8/6/2014

B
California 9/5/2014

B
Ohio 8/6/2014

B
Colorado 8/7/2014

B
Oklahoma 8/6/2014

B
Connecticut 9/14/2021

B
Oregon 10/2/2020

B
District of Columbia 8/7/2014

B
Pennsylvania 8/7/2014

B
Florida 8/7/2014

B
South Carolina 8/8/2014

B
Georgia 8/6/2014

B
Tennessee 8/8/2014

B
Hawaii 3/24/2021

B
Texas 8/8/2014

B
Illinois 8/7/2014

IA
Texas 8/18/2014

B
Indiana 8/11/2014

B
Utah 3/15/2021

B
Maryland 8/11/2014

B
Vermont 12/12/2022

B
Massachusetts 8/7/2014

B
Virginia 8/8/2014

IA
Michigan 8/4/2014

B
Washington 8/7/2014

B
Michigan 8/5/2014

B
Wisconsin 3/26/2020

B
New Jersey 8/8/2014

SRO Registrations

B
BOX Exchange LLC

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe C2 Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Investors' Exchange LLC

B
Long-Term Stock Exchange, Inc.

B
MEMX LLC

B
MIAX Emerald, LLC

B
MIAX PEARL, LLC

B
MIAX Sapphire

B
Miami International Securities Exchange, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
NYSE National, Inc.

B
Nasdaq BX, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq MRX, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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
J.P. MORGAN SECURITIES LLC (CRD#:79)
685 ST CLAIR ST, GROSSE POINTE, MI 48230
Registered with this firm since 8/4/2014

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
685 ST CLAIR ST, GROSSE POINTE, MI 48230
Registered with this firm since 7/30/2014

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/29/2010 - 08/04/2014 CHARLES SCHWAB & CO., INC. (CRD#:5393) TROY, MI
B
02/17/2004 - 08/04/2014 CHARLES SCHWAB & CO., INC. (CRD#:5393) TROY, MI
B
04/17/1998 - 02/17/2004 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
04/17/1998 - 02/17/2004 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.