Norval E. Thompson

ST. MICHAELS ASSET MANAGEMENT

ST.MICHAELS, MD 21663

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CRD#: 1026131

Professional summary

Norval Edwin Thompson SR, who also goes by Norval E Thompson Sr, Norval Edwin A Thompson Sr, Norval E. Thompson, is a registered financial advisor currently at ST. MICHAELS ASSET MANAGEMENT located in St.michaels, Maryland.

Norval is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Norval has worked at 10 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 5, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Norval E Thompson Sr | Norval Edwin A Thompson Sr | Norval E. 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) N.E. THOMPSON & COMPANY, LLC; NON-INVESTMENT RELATED; 417 S. TALBOT STREET, ST. MICHAELS, MD 21663; HOLDING COMPANY; CEO; 07/2010; APPROX. 1 HOUR PER MONTH DURING NON-TRADING HOURS; CEO OF HOLDING COMPANY THAT HOLDS ST. MICHAELS ASSET MANAGEMENT, LLC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Norval Edwin Thompson SR'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®

None

Experience

Current

January 11, 2007 - Present

ST. MICHAELS ASSET MANAGEMENT

Office #1: 953 S. Talbot St. Po Box 1136, St.michaels, MD 21663

RIA

CRD#: 121201

ST.MICHAELS, MD

Past

January 26, 2007 - November 14, 2022

QUOIN CAPITAL LLC

CRD#: 136160

PHILADELPHIA, PA

Past

January 28, 2003 - January 3, 2006

CAPITAL PORTFOLIO MANAGEMENT, INC.

CRD#: 29302

TIMONIUM, MD

Past

September 13, 2001 - September 25, 2002

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

December 24, 1996 - August 3, 2001

FIRST SECURITY INVESTMENTS, INC.

CRD#: 24035

KINGSTON, PA

Past

February 17, 1995 - October 22, 1996

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

April 26, 1993 - February 9, 1995

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

September 16, 1991 - March 9, 1992

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

March 4, 1988 - June 5, 1990

AAG CAPITAL, INC

CRD#: 188

WESLEY CHAPEL, FL

Past

January 21, 1982 - October 22, 1986

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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.

Highlighted states indicate IAR registrations

IAR

Florida
(9/21/2015)

IAR

Maryland
(1/11/2007)

IAR

Pennsylvania
(7/2/2025)

IAR

Texas
(9/13/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/1/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/13/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 1/26/1982

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 1/16/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/8/1997

General Securities Principal Examination

Current Firm

ST. MICHAELS ASSET MANAGEMENT

N.E. THOMPSON & CO, LLC | ST.MICHAELS ASSET MANAGEMENT, LLC | ST. MICHAELS ASSET MANAGEMENT, LLC | ST. MICHAELS ASSET MANAGEMENT | N.E. THOMPSON AND COMPANY/ST. MICHAELS ASSET MANAGEMENT, INC.

CRD#: 121201 / SEC#:

Delaware

Registered Investment Advisory firm - (11/15/2024 Terminated)

District of Columbia

Registered Investment Advisory firm - (11/15/2024 Terminated)

Florida

Registered Investment Advisory firm - (9/21/2015 Approved)

Maryland

Registered Investment Advisory firm - (6/2/1999 Approved)

New Jersey

Registered Investment Advisory firm - (11/21/2024 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/2/2025 Approved)

Texas

Registered Investment Advisory firm - (9/13/2011 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

953 S. Talbot Street, St. Michaels, MD 21663

Mailing Address

953 S. Talbot Street Po Box 1136, St. Michaels, MD 21663

Phone number

(410) 745-3550

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	60
AUM (Assets Under Management)	$ 3,600,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Norval E. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Norval Edwin Thompson SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

QUOIN CAPITAL LLC

CAPITAL PORTFOLIO MANAGEMENT, INC.

ROUND HILL SECURITIES, INC.

FIRST SECURITY INVESTMENTS, INC.

FIRST UNION CAPITAL MARKETS CORP.

A. G. EDWARDS & SONS, INC.

OSAIC WEALTH, INC.

AAG CAPITAL, INC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 7/1/1997

Series 63

Date: 7/13/1982

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 5

Date: 1/26/1982

Series 7

Date: 1/16/1982

Series 24

Date: 8/8/1997

Current Firm

ST. MICHAELS ASSET MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ST. MICHAELS ASSET MANAGEMENT

TRUST BUT VERIFY

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