Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Phillip? Claim Your ProfilePhillip L. Thompson is a financial professional with over 13 years of experience in the securities industry. Phillip has a broad range of experience, having worked at firms such as Marex Capital Markets Inc. and NatWest Markets Securities Inc. Phillip is currently registered with Smbc Nikko Securities America, Inc. in New York, New York. Phillip holds the Series 7, Series 63, SIE, and Series 99TO licenses.
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.
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.
1
2
NY
03/18/2024 - Present
Smbc Nikko Securities America, Inc. (NEW YORK NY)
NY
01/11/2021 - 02/14/2024
MAREX CAPITAL MARKETS INC. (NEW YORK NY)
CT
12/03/2013 - 12/10/2020
NATWEST MARKETS SECURITIES INC. (STAMFORD CT)
NY
03/11/2010 - 12/12/2013
UBS SECURITIES LLC (NEW YORK NY)
BC
Issued 12/22/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/09/2010
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
Not sure Phillip Thompson is the right advisor for you? Invested Better is here to help.
