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THOMAS JOHN THOMPSON
THOMAS JOHN THOMPSOM
CRD#: 710097
IA
B
PINNACLE INVESTMENTS, LLCCRD#: 142910 5845 WIDEWATERS PKWY
STE 300
EAST SYRACUSE, NY 13057
STE 300
EAST SYRACUSE, NY 13057
0
Disclosures
44
Years of Experience
View By:
State Registrations
B
Alabama 1/7/2013
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New York 4/12/2021
B
California 8/6/2009
B
North Carolina 2/15/2018
B
Connecticut 11/2/2022
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North Carolina 1/21/2025
B
Delaware 8/6/2009
B
Ohio 5/19/2021
B
Florida 8/6/2009
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Ohio 1/21/2025
B
Indiana 10/16/2020
B
Pennsylvania 8/6/2009
B
Kentucky 9/16/2022
B
South Carolina 10/21/2021
B
Massachusetts 12/9/2009
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South Carolina 10/22/2021
B
Missouri 8/6/2009
B
Tennessee 8/31/2023
B
New Jersey 4/14/2016
B
Vermont 9/6/2023
B
New York 8/6/2009
B
Virginia 8/6/2009
SRO Registrations
B
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Registered with this firm since 4/12/2021
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Registered with this firm since 8/6/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/01/2009 - 08/11/2009 | SYRACUSE, NY | |
B | 12/17/1993 - 06/01/2009 | SYRACUSE, NY | |
B | 09/06/1983 - 01/01/1994 | NEW YORK, NY | |
B | 06/19/1980 - 12/02/1991 |
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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.