Individual Firm
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ROBERT SIDNEY THOMPSON
CRD#: 4918247
IA
B
EMPOWER ADVISORY GROUP, LLCCRD#: 112058 Daphne, AL
EMPOWER FINANCIAL SERVICES, INC.CRD#: 13109 Daphne, AL
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3/13/2008
Customer Dispute
Settled
State Registrations
B
Alabama 4/4/2022
B
Georgia 4/4/2022
IA
Alabama 2/1/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 11/29/2011 - 04/04/2022 | NEWARK, NJ | |
IA | 06/01/2009 - 11/07/2011 | FAIRHOPE, AL | |
B | 06/01/2009 - 11/07/2011 | FAIRHOPE, AL | |
IA | 04/02/2007 - 06/01/2009 | FAIRHOPE, AL | |
B | 04/02/2007 - 06/01/2009 | FAIRHOPE, AL | |
IA | 01/05/2007 - 04/02/2007 | FAIRHOPE, AL | |
B | 01/05/2007 - 04/02/2007 | FAIRHOPE, AL | |
B | 04/19/2005 - 01/09/2007 | FOLEY, AL |
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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.