Individual Firm
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ALEXANDER EARLE THOMPSON
ALEXANDER THOMPSON
CRD#: 5038780
IA
B
ADVICE AND PLANNING SERVICESCRD#: 20472 4 CITY CENTER
2ND FLOOR
PORTLAND, ME 04101
2ND FLOOR
PORTLAND, ME 04101
0
Disclosures
19
Years of Experience
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State Registrations
B
Arizona 6/13/2022
B
Massachusetts 8/28/2013
B
Colorado 11/15/2022
B
New Hampshire 8/28/2013
B
Connecticut 1/6/2014
B
New Mexico 5/28/2019
B
Florida 8/28/2013
B
New York 4/21/2016
B
Hawaii 1/3/2022
B
Pennsylvania 5/5/2022
B
Maine 8/29/2013
B
South Carolina 11/18/2020
IA
Maine 8/29/2013
B
Texas 6/8/2022
B
Maryland 11/14/2019
B
Vermont 8/28/2013
SRO Registrations
B
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IA
Registered with this firm since 8/29/2013
B
Registered with this firm since 8/28/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/18/2006 - 07/18/2013 | PORTLAND, ME | |
B | 12/20/2005 - 07/18/2013 | PORTLAND, ME |
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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.