Individual Firm
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MARK JULIEN THOMPSON
Mark J Thompson
CRD#: 5348637
IA
B
MORGAN STANLEYCRD#: 149777 Rye, NY
0
Disclosures
14
Years of Experience
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State Registrations
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Connecticut 10/1/2018
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New York 10/1/2018
IA
Connecticut 10/1/2018
IA
New York 6/16/2021
SRO Registrations
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IA
Registered with this firm since 10/1/2018
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Registered with this firm since 10/1/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/30/2015 - 09/07/2018 | New York, NY | |
B | 07/11/2015 - 09/07/2018 | New York, NY | |
IA | 06/01/2009 - 07/23/2013 | BOSTON, MA | |
B | 06/01/2009 - 07/23/2013 | BOSTON, MA | |
IA | 12/24/2008 - 06/01/2009 | PURCHASE, NY | |
B | 08/14/2008 - 06/01/2009 | PURCHASE, NY |
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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.
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.