Unclaimed Profile

Read Morton Jr Northen

THOMPSON DAVIS & CO., INC.·RICHMOND, Virginia

SIE, Series 7, Series 63, Series 6626 years registeredTHOMPSON DAVIS & CO., INC.

9030 STONY POINT PKWY, STE 100, RICHMOND, VA 23235CRD# 849473Firm CRD# 41353

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Read Morton Jr Northen · RICHMOND, VA

Registration

CRD #849473 · THOMPSON DAVIS & CO., INC. · 26 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: THOMPSON DAVIS & CO., INC.

THOMPSON DAVIS ASSET MANAGEMENT

Dec 2012 – Mar 2023

RICHMOND, VA

UBS FINANCIAL SERVICES INC.

Aug 2000 – Nov 2006

RICHMOND, VA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 63

Series 66

Registration record

First registered · August 12, 2000

Years registered · 26

Disclosure History

1998Customer Dispute·Closed-No Action

1987Customer Dispute·Settled

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

THOMPSON DAVIS & CO., INC.

CRD 41353 · SEC 801-120472

AUM

$159M

Regulatory assets under management

Employees

289 client accounts

Services offered by THOMPSON DAVIS & CO., INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at THOMPSON DAVIS & CO., INC. →

Introduction

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Frequently Asked Questions

What services does Read Morton Jr Northen offer?

Read Morton Jr Northen specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management.

What are Read Morton Jr Northen's credentials?

Read Morton Jr Northen is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Read Morton Jr Northen located?

Read Morton Jr Northen is based in RICHMOND, Virginia, last registered with THOMPSON DAVIS & CO., INC..

How does Read Morton Jr Northen charge for services?

Read Morton Jr Northen's firm is compensated through percentage of aum, subscription fees, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is THOMPSON DAVIS & CO., INC.?

THOMPSON DAVIS & CO., INC. has approximately 10 employees and manages $159M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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