Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Ryan Thompson is a registered representative with Charles Schwab & CO., Inc. located in Lone Tree, Colorado. Christopher has been in the securities industry since 1997 and is currently registered with FINRA and the State of Colorado. Christopher has passed several industry exams including the Series 7, Series 24, Series 52, Series 53, Series 57, Series 63, Series 65 and Series 99. Christopher has previously worked with Investment Professionals, Inc., Advisors Asset Management, Inc. and Kirkpatrick, Pettis, Smith, Polian Inc.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Set rates for specific services, regardless of time or assets managed.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
CO
09/04/2018 - Present
Charles Schwab & CO., Inc. (Lone Tree CO)
GA
04/06/2018 - 08/10/2018
IFS SECURITIES (ATLANTA GA)
CO
11/30/2010 - 07/03/2017
INVESTMENT PROFESSIONALS, INC. (ENGLEWOOD CO)
CO
08/06/2003 - 12/06/2010
ADVISORS ASSET MANAGEMENT, INC. (MONUMENT CO)
NE
03/01/2002 - 04/08/2003
KIRKPATRICK, PETTIS, SMITH, POLIAN INC. (OMAHA NE)
NY
05/26/2000 - 03/04/2002
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
05/15/1998 - 06/07/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
01/23/1998 - 04/08/1998
DEAN WITTER REYNOLDS INC.
NE
08/19/1996 - 01/28/1998
KIRKPATRICK, PETTIS, SMITH, POLIAN INC. (OMAHA NE)
IA
Issued 06/06/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/21/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/24/2011
Series 24 - General Securities Principal Examination
BC
Issued 02/06/2011
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 02/04/2019
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/16/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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