DT
Douglas G. Thompson
J. W. COLE ADVISORS
Lakeville, MN 55044
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CRD#: 1015524
DT
Professional summary
Douglas George Thompson, AIF®, ChFC®, who also goes by Doug Thompson, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Lakeville, Minnesota and J.W. COLE FINANCIAL, INC. located in Lakeville, Minnesota.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Douglas has worked at 6 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Doug Thompson
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) Midwest Money Management, Inc.; DBA; Investment Related; 17316 Kenyon Ave, Ste 104, Lakeville, MN 55077; Administrator; Develop eMoney strategies for customers, meet with wholesalers for product selection, build client relationships and profiles with new customers; Start 1999; 30 hours/month, 30 hours/month during trading. (2) Men of His Word; Faith Based Men's Group; Not investment related; 2207 11th Ave S. E., Rochester, MN 55904; Chairman; Find sponsors to financially support the Fall conference the last Saturday in October each year; Start 1/2015; 5-8 hours/month, 2 hours/month during trading. (3) Doug & Kris Thompson Properties, LLC; Rental Property; Investment Related; 3495 Hart Lane S.W., Rochester, MN 55902; Owner; Property is located in The Wisconsin Dells/Wilderness Territory, Pay maintenance costs quarterly, turn key operation otherwise; Start 8/2011; 10 hours/month, 1-2 hours/month during trading. (4) RoPer Properties LLC; Rental properties; Investment Related; 3495 Hart Ln, S.W., Rochester, MN 55902; Partner with two brothers; Pay maintenance cost quarterly, turn key operation otherwise, located in the The Wisconsin Dells, Wilderness Territory; Start 9/2022; <1 hour/month, 0 during trading. (5) Doug & Kris Thompson (Joint); Rental Property; Investment Related; 1445 Dynasty Place, The Villages, FL 32163; Owner; Find renters, manage the property; collect rent; Start 4/2020; 8-10 hours/month, 1-2 hours during trading. (6) Ascension Lutheran Church; Not investment related; 2207 11th Ave, SE, Rochester, MN 55904; Church Council President; Oversee operations of the church as well as church council and congregational meetings; Start 1/1/25; 2 hours/month during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas George Thompson's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
September 30, 2024 - Present
J. W. COLE ADVISORS, INC.
Office #1: 17316 Kenyon Ave Ste 104 Lakeville Mn 55044 Ste 104, Lakeville, MN 55044RIA
CRD#: 112294
Lakeville, MN
Current
September 30, 2024 - Present
J.W. COLE FINANCIAL, INC.
Office #1: 17316 Kenyon Ave Suite 104, Lakeville, MN 55044BD
CRD#: 124583
Lakeville, MN
Past
June 13, 2012 - October 3, 2024
SPC
RIA
CRD#: 110692
ROCHESTER, MN
Past
February 9, 2002 - October 3, 2024
PARKLAND SECURITIES, LLC
BD
CRD#: 115368
ROCHESTER, MN
Past
August 19, 1997 - February 9, 2002
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
February 22, 1982 - August 19, 1997
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
RIA
Registered Investment Advisory firm - (11/23/2001 Approved)Arizona
Registered Investment Advisory firm - (12/4/2001 Terminated)Florida
Registered Investment Advisory firm - (12/5/2001 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Minnesota(9/30/2024)
IAR
Minnesota(9/30/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
RIA
Registered Investment Advisory firm - (11/23/2001 Approved)Arizona
Registered Investment Advisory firm - (12/4/2001 Terminated)Florida
Registered Investment Advisory firm - (12/5/2001 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634
Mailing Address
Phone number
(813) 935-6776
Established
Firm type
Fiscal year end
# of Employees
512
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,614 |
| AUM (Assets Under Management) | $ 7,195,237,282 |
Red Flags
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