Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Brent Thompson is a financial advisor who is registered with Capital Client Group, Inc. and has been in the industry since February 10, 2009. Stephen Thompson is licensed to provide financial advice in 17 states. Stephen Thompson holds several professional licenses including Series 6, Series 7TO, Series 26 and Series 63 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.
Recommending affiliate as investment adviser of sma assets
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.
As agreed upon in a manner that covers registrant's costs
1
2
CA
02/11/2009 - Present
Capital Client Group, Inc. (LOS ANGELES CA)
BC
Issued 04/28/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/27/2009
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/30/2024
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/10/2009
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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