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William Seabury Thompson

Barclays Capital Inc.

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About William Seabury Thompson

William Seabury Thompson is a financial advisor with Barclays Capital Inc. William Thompson has been in the financial industry since 2010 and holds a Series 7, Series 86, Series 87, and a Series 63 license. William Thompson's current and previous employers have included J.P. MORGAN SECURITIES LLC, CITIGROUP GLOBAL MARKETS INC., and FBR CAPITAL MARKETS & CO..

Firm Information

William Thompson is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

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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William Thompson’s Registration & Firm History

MA

09/25/2014 - Present

Barclays Capital Inc. (BOSTON MA)

NY

08/11/2011 - 09/18/2014

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

NY

09/15/2010 - 08/18/2011

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

NY

03/11/2010 - 08/26/2010

FBR CAPITAL MARKETS & CO. (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/07/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/06/2010

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 06/12/2010

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 03/10/2010

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for William Seabury Thompson.
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