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Raymond A Thompson

Raymond A Thompson

Consultant

location of Raymond A ThompsonNew Orleans, Louisiana, United States

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  • Timeline

  • About me

    Branch Manager at Prospera Financial Services, Inc. (dba Dorsey & Company)

  • Education

    • Sam Barthe High School, Metairie, LA

      1964 - 1969

    • Louisiana Tech University

      1969 - 1973
      BA Business

      Activities and Societies: Alpha Eta Rho, Professional Aviation Fraternity

  • Experience

    • Alario & Associates

      Jan 1977 - Jan 1983
      Consultant

      Engaged in the offshore marine industry; MARAD Title XI Ship Financing, EX-IM Bank, U.S. Customs and Coast Guard regulatory matters; Offshore tug, supply boat and river barge financing

    • Financial Planning Association (FPA)

      Jan 1983 - now
      Member

      The Financial Planning Association® (FPA®) is the largest membership organization for CFP® professionals in the U.S. and also includes members who support the financial planning process. Working in alliance with academic leaders, legislative and regulatory bodies, financial services firms and consumer interest organizations, FPA helps connect all in our membership through a variety of unique and compelling ways. FPA members are encouraged to ​adhere to the highest standards of professional competence, ethical conduct and clear, complete disclosure to those they serve. FPA membership consists of CERTIFIED FINANCIAL PLANNER™ professionals,​ educators, financial services professionals, students and more; FPA is compensation neutral and represents those from diverse backgrounds and business models. FPA's unique network of nationwide chapters encourage professional development and networking on a local level.The Financial Planning Association is headquartered in Denver, Colo. and is governed by a volunteer Board of Directors who are charged with helping the organization reach its strategic goals. FPA’s staff is dedicated to creating an unparalleled membership experience. Show less

    • Dorsey & Company

      Jul 1983 - now

      Dorsey & Company Inc. is a New Orleans based securities firm which, since our founding in 1959, has been serving the needs of multiple generations of Gulf South investors. We provide full service financial and securities services to individual, corporate, and fixed income institutional clients. These services include investment consulting and money management, securities brokerage, personal financial planning services, and insurance.Mr. Thompson has successfully completed SEC/FINRA/NASAA examinations to attain the following registrations:Series 7 Full Registration/General Securities RepresentativeSeries 22 Direct Participation Program RepresentativeSeries 24 General Securities PrincipalSeries 27 Financial and Operations PrincipalSeries 39 Direct Participation Program PrincipalSeries 52 Municipal Securities RepresentativeSeries 53 Municipal Securities PrincipalSeries 57 Securities TraderSeries 63 Uniform Securities Agent State Law ExaminationSeries 65 Uniform Investment Advisor Law ExaminationLouisiana Life, Accident & Health Producer, License #289416Dorsey & Company, Inc. is a member of FINRA and SIPC. Show less

      • President & CEO

        Aug 2019 - now

      • Sr VP, Chief Compliance and Operations Officer

        Jul 1983 - Dec 2021

    • Society of Financial Service Professionals

      Jan 2001 - now
      Member

      For more than 80 years, the Society of Financial Service Professionals has been helping individuals, families, and businesses achieve financial security.With their strong commitment to delivering only those financial products and planning services that are in their clients' best interests, the Society's approximately 11,000 members nationwide are uniquely qualified to assist the public in reaching their future financial goals—today, tomorrow, and into the next millennium. Society members can provide consumers expert assistance with: estate, retirement and financial planning; employee benefits; business and compensation planning; and life, health, disability, and long-term care insurance.Society members have earned recognized professional credentials in the financial services industry, or are working towards attaining a professional credential. Show less

    • National Society of Compliance Professionals

      Feb 2001 - now
      Member

      The National Society of Compliance Professionals is a nonprofit, membership organization dedicated to serving and supporting the compliance professional in the financial services industry. NSCP is for compliance, by compliance. NSCP membership provides the financial services professional from the U.S. and Canada with a wide range of resources including a vast network of compliance peers, continuing education to further their knowledge and specialized skills, and regulatory involvement through representation of compliance interests. Show less

    • City of Harahan, Planning and Zoning Commission

      Jan 2005 - Jan 2008
      Member

    • New Orleans Scottish Rite Foundation, Inc.

      Jan 2007 - Jan 2016
      Past President & Member

      501c(3) Charitable Organization

    • City of Harahan, Board of Adjustments and Appeals

      Jan 2008 - Jan 2014
      Member

    • ROJ, Court #36

      Jan 2009 - Dec 2009
      Past Director

    • FINRA

      Jan 2010 - Dec 2013
      District 5 Committee Member

    • JOW, LLC

      May 2010 - May 2017
      Secretary/Road Captain

    • FINRA

      Jan 2016 - Dec 2016
      District 5 Committee Member

    • FINRA

      Jan 2018 - Nov 2018
      District 5 / South Region Committee Member

    • Prospera Financial

      Dec 2021 - now
      Branch Manager

  • Licenses & Certifications

    • Louisiana Life, Accident & Health Producer, License #289416

      Louisiana Department of Insurance