Adviser and broker representative · Charles Schwab & Co., Inc.
Stephen B. Thompson III
CRD 6541311 · Portland, ME
At a glance
Stephen B. Thompson III is an investment adviser representative with Charles Schwab & Co., Inc. in Portland, ME, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Stephen’s SEC record dates to 2017, about 9 years ago. Stephen is also registered as a broker representative.
Current advisory firm
- Charles Schwab & Co., Inc.Since January 2022Portland, ME · $0M in regulatory assets
SEC adviser record
- Registered since
- 2017 (9 years)
- Designations
- None on file
- Exams
- Series 63, Series 66
- Registered in
- 2 states
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Stephen’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 3 firmsLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.
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