Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Lee Thompson is a financial advisor at Raymond James & Associates, Inc. David has been in the financial services industry since October 1, 1997. David has been registered with Raymond James & Associates, Inc. since March 2007. Previously, David was employed by MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and J.C. BRADFORD & CO. David has a wide range of experience in the financial services industry and is qualified to offer investment advice. David is licensed to provide securities advice and investment advice in a number of states. David is committed to providing clients with personalized financial advice and guidance.
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.
Please see note in schedule d - miscellaneous
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
KY
08/21/2007 - Present
Raymond James & Associates, Inc. (ASHLAND KY)
KY
06/03/1998 - 03/12/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ASHLAND KY)
NY
09/17/1997 - 05/18/1998
J.C. BRADFORD & CO. (NEW YORK NY)
IA
Issued 09/21/2005
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 03/21/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/08/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/03/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/13/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/15/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 09/16/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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