Rodney Thompson, financial advisor Sierra Madre CA
93 score

Rodney Thompson

CRD Number: 1815861
Current Firm: Legend Advisory Corporation

Rodney Thompson (CRD# 1815861) is an Investment Advisor Representative working at Legend Advisory Corporation in Sierra Madre, CA and has over 11 years of experience in the finance industry.

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Company Name Location Dates Years
Legend Advisory Corporation Palm Beach Gardens, FL Jun 2014 - Current 3
Legend Equities Corporation Palm Beach Gardens, FL May 2014 - Current 3
Glp Investment Services Farmington Hills, MI Jan 2014 - May 2014 < 1
Glp And Associates Farmington Hills, MI Nov 2013 - May 2014 < 1
Unemployed Sierra Madre, CA Oct 2012 - Nov 2013 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pasadena, CA Aug 2012 - Oct 2012 < 1
National Planning Corp West Covina, CA Jul 2012 - Aug 2012 < 1
Unemployed Sierra Madre, CA Apr 2011 - Jul 2012 1
T3 Trading Group, LLC Los Angeles, CA Dec 2010 - Apr 2011 < 1
Altrion/t3 Trading Group Los Angeles, CA May 2010 - Apr 2011 < 1
Altrion Los Angeles, CA May 2010 - Dec 2010 < 1
Linsco/private Ledger Corp Pasadena, CA Feb 2007 - May 2010 3
Lpl Financial Pasadena, CA Feb 2007 - May 2010 3
Unemployed North Hollywood, CA Jul 2006 - Feb 2007 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Dec 2012
S63 Uniform Securities State Law Examination Jul 2006
Contact Info for Rodney M. Thompson
Phone Number: (866) 774-8671
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    2,105
    MILLIONS
  • Total Number of Accounts
    29,775
    ACCOUNTS
  • Average Account Value
    $70,710
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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