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RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

KEVIN DAVID THOMPSON

Advisor at J.P. MORGAN SECURITIES LLC

Nashville, TN | Franklin, TN | Nolensville, TN

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Search this name across graphsid dfx:ria:061fac00-b2eb-4af4-96aa-7affc9093c08

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jun 15, 2007 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: J.P. MORGAN SECURITIES LLC
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 2, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Nov 2, 1998
First registration: Jun 15, 2007
Dual registered: yes, broker-dealer
Other names: KEVIN DAVID THOMPSON|KEVIN THOMPSON
IAPD individual key: 3121373

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
J.P. MORGAN SECURITIES LLC	Wirehouse	Mar 4, 2020	n/a	yes	Nolensville, TN\|Nashville, TN\|Franklin, TN	Current employment
ROSS, SINCLAIRE & ASSOCIATES, LLC	Former SEC adviser	Jun 13, 2018	Mar 2, 2020	no	BRENTWOOD, TN\|CINCINNATI, OH\|CINCINNATI, OH	Previous registration
WADDELL & REED	Former SEC adviser	Sep 23, 2009	Apr 20, 2018	no	DUBLIN, OH\|NASHVILLE, TN\|RALEIGH, NC\|NASHVILLE, TN\|BRENTWOOD, TN	Previous registration
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	Jun 20, 2008	Mar 6, 2009	no	GALLATIN, TN\|HENDERSONVILLE, TN\|HERMITAGE, TN\|HENDERSONVILLE, TN\|NASHVILLE, TN	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 15, 2007	Jun 10, 2008	no	NEW YORK, NY\|NASHVILLE, TN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ROSS, SINCLAIRE & ASSOCIATES, LLC	J.P. MORGAN SECURITIES LLC	Mar 2, 2020	Mar 4, 2020	2	Firm change	RIA to wirehouse
WADDELL & REED	ROSS, SINCLAIRE & ASSOCIATES, LLC	Apr 20, 2018	Jun 13, 2018	54	Firm change	Ibd to RIA
FIFTH THIRD SECURITIES, INC.	WADDELL & REED	Mar 6, 2009	Sep 23, 2009	201	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	FIFTH THIRD SECURITIES, INC.	Jun 10, 2008	Jun 20, 2008	10	Firm change	Other

Relationships

Registered with (5)

→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: current employment
Mar 4, 2020 to presentfactForm ADV
→ ROSS, SINCLAIRE & ASSOCIATES, LLCRegistered adviserregistration: previous registration
Jun 13, 2018 to Mar 2, 2020factForm ADV
→ WADDELL & REEDRegistered adviserregistration: previous registration
Sep 23, 2009 to Apr 20, 2018factForm ADV
→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: previous registration
Jun 20, 2008 to Mar 6, 2009factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 15, 2007 to Jun 10, 2008factForm ADV

Dated events

No dated event names this entity yet.