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Detailed Report
CHARLES JAMES THOMPSON
CRD#: 5284355
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 MADEIRA BEACH, FL
Registration History
2008201020122014201620182020202220242026IALPL FINANCIAL LLC (CRD# 6413)2021 - Present (4 years)BLPL FINANCIAL LLC (CRD# 6413)2014 - Present (10 years)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)2009 - 2014 (4 years)BRAYMOND JAMES & ASSOCIATES, INC. (CRD# 705)2007 - 2009 (2 years)
License(s)

State Registrations

B
Florida 8/27/2014
B
South Carolina 3/22/2021
IA
Florida 3/24/2021

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
LPL FINANCIAL LLC (CRD#:6413)
MADEIRA BEACH, FL
Registered with this firm since 3/24/2021
B
LPL FINANCIAL LLC (CRD#:6413)
MADEIRA BEACH, FL
Registered with this firm since 8/27/2014
Previous Registration(s)
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B
 11/12/2009 - 07/14/2014 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) ST PETERSBURG, FL
B
 10/25/2007 - 11/03/2009 RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705) ST. PETERSBURG, FL
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.