Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark William Thompson is a financial professional with over 40 years of experience in the industry. Mark is registered with SPC and is a Series 63, 65, 7, 24, and SIE licensed advisor. He is a Registered Investment Advisor in CO and TX and has been active in the financial services industry since 1977. Mark has worked at several firms before joining SPC including Presidential Brokerage, Inc., First Union Securities, Inc., Kirkpatrick, Pettis, Smith, Polian Inc., Raymond James & Associates, Inc., Comprehensive Capital Corp., G. K. Scott & Co., Inc., Vanguard Capital, Huberman Securities Corp., Pittock Financial Corporation, and The Stuart-James Company, Inc. Mark provides financial planning, portfolio management for individuals and businesses, educational seminars, and consultation services.
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.
Consultation services
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.
Seminar attendance fees
1
2
CO
01/26/2011 - Present
SPC (GREENWOOD VILLAGE CO)
TX
12/05/2001 - 12/15/2003
PRESIDENTIAL BROKERAGE, INC. (AUSTIN TX)
MO
08/03/2000 - 12/14/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NE
09/24/1997 - 08/15/2000
KIRKPATRICK, PETTIS, SMITH, POLIAN INC. (OMAHA NE)
FL
02/01/1994 - 09/02/1997
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
NY
09/30/1991 - 02/01/1994
COMPREHENSIVE CAPITAL CORP. (GREAT NECK NY)
NY
01/22/1991 - 09/30/1991
G. K. SCOTT & CO., INC. (PLAINVIEW NY)
CA
08/30/1989 - 01/04/1991
VANGUARD CAPITAL (DEL MAR CA)
NA
10/07/1987 - 07/18/1989
HUBERMAN SECURITIES CORP.
NA
01/07/1985 - 09/28/1987
PITTOCK FINANCIAL CORPORATION
NA
04/30/1984 - 12/28/1984
THE STUART-JAMES COMPANY, INC.
NA
07/26/1977 - 04/27/1984
FIRST FINANCIAL SECURITIES, INC.
IA
Issued 04/27/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/15/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/30/1986
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/16/1977
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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