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Albert Louis Thompson

DWS Distributors, Inc.

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About Albert Louis Thompson

Albert Louis Thompson is a financial advisor with DWS Distributors, Inc. Albert has been in the financial industry since 1998. Albert is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 6, Series 7, Series 24, and Series 63 licenses. Albert's previous experience includes positions with Emerson Equity LLC, Ascend Alternative Strategies, LLC, Axiom Capital Management, Inc., Hines Securities, Inc., and Van Kampen Funds Inc. Albert has a deep understanding of the financial markets and is committed to providing clients with personalized investment advice.

Firm Information

Albert Thompson is currently registered with DWS Distributors, Inc.. DWS Distributors, Inc. is a corporation formed in September 1994 and is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been involved in 5 regulatory events and 1 arbitration case.

Not reported

Assets Under Management

Not reported

Total Clients

51

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Albert Thompson’s Registration & Firm History

IL

03/26/2021 - Present

DWS Distributors, Inc. (CHICAGO IL)

CA

10/18/2019 - 09/21/2020

EMERSON EQUITY LLC (SAN MATEO CA)

TX

03/26/2017 - 05/03/2019

ASCENDANT ALTERNATIVE STRATEGIES, LLC (Austin TX)

TX

01/04/2016 - 03/30/2017

AXIOM CAPITAL MANAGEMENT, INC. (AUSTIN TX)

TX

06/06/2005 - 10/20/2015

HINES SECURITIES, INC. (HOUSTON TX)

TX

11/20/1996 - 03/08/2005

VAN KAMPEN FUNDS INC. (HOUSTON TX)

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Licenses & Designations

BC

Issued 11/21/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/24/2006

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/04/1997

Series 7 - General Securities Representative Examination

BC

Issued 11/19/1996

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Albert Louis Thompson.
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