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David Maxwell Thompson

Morgan Stanley & Co. LLC

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About David Maxwell Thompson

David Maxwell Thompson is a registered representative associated with Morgan Stanley & Co. LLC. David has been in the securities industry for 7 years and has two securities licenses: the Series 79 and the Securities Industry Essentials Exam.

Firm Information

David Thompson is currently registered with Morgan Stanley & Co. LLC. Morgan Stanley & Co. LLC is a Limited Liability Company formed on December 3, 1969. It is registered in 53 states and has one approved SEC registration. The firm has been involved in 471 Regulatory Events, 5 Civil Events, and 54 Arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

462

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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David Thompson’s Registration & Firm History

NY

11/17/2015 - Present

Morgan Stanley & Co. LLC (New York NY)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/17/2015

Series 79 - Investment Banking Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Maxwell Thompson.
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