Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you J? Claim Your ProfileJ Timothy Thompson is a financial advisor who has been in the industry since 1977. J Timothy Thompson currently works for Morgan Stanley and has also worked for Citigroup Global Markets Inc., UBS Financial Services Inc., Lehman Brothers Inc., E. F. Hutton & Company Inc, Smith Barney, Harris Upham & Co., Incorporated and Blyth Eastman Dillon & Co. Incorporated. J Timothy Thompson is licensed to offer investment advice in 44 states. J Timothy Thompson is registered with the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC).
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
DC
06/01/2022 - Present
Wealthpenn.comllc (Washington DC)
DC
10/03/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (WASHINGTON DC)
DC
05/12/1993 - 10/14/2008
UBS FINANCIAL SERVICES INC. (WASHINGTON DC)
NY
05/14/1988 - 05/21/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
04/03/1980 - 05/14/1988
E. F. HUTTON & COMPANY INC
NA
05/07/1979 - 05/04/1980
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
NA
06/01/1977 - 06/18/1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
IA
Issued 7/1/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 3/11/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 7/26/1990
Series 53 - Municipal Securities Principal Examination
BC
Issued 3/8/1989
Series 24 - General Securities Principal Examination
BC
Issued 2/15/1985
Series 4 - Registered Options Principal Examination
BC
Issued 8/21/1982
Series 12 - NYSE Branch Manager Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/28/1977
PC - AMEX Put and Call Exam
BC
Issued 5/21/1977
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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