Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Charles Thompson is a financial advisor with over 23 years of experience in the industry. David Thompson has a Series 7, Series 3, Series 9, Series 10, and Series 66 license and is registered in 32 states. David Thompson is currently employed with RBC Capital Markets, LLC and has been with them since 2009. Previously, David Thompson was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated from 1999 to 2009. David Thompson's specializations include advising individuals, high-net-worth individuals, businesses, corporations, pension and profit sharing plans, and pooled investment vehicles.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
CA
03/03/2009 - Present
RBC Capital Markets, LLC (NEWPORT BEACH CA)
CA
07/22/1999 - 03/05/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LAGUNA HILLS CA)
BOTH
Issued 08/25/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/18/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/15/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/31/2011
Series 3 - National Commodity Futures Examination
BC
Issued 07/21/1999
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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