James Allen Thompson
Professional Summary
James Allen Thompson is a registered financial advisor currently at TRIVIUM POINT ADVISORY, LLC located in White Plains, New York and LPL FINANCIAL LLC located in White Plains, New York. James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. James has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 62, Series 22, Series 6, Series 24 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
43 years in the financial services industry
Current & Past Employments
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Current Firm
MONEY MINDSET WEALTH MANAGEMENT | TRIVIUM POINT ADVISORY, LLC | PARADIGM WEALTH ADVISORS, LLC | PARADIGM FINANCIAL PARTNERS, LLC
Contact Information
Main Address
40 Danbury Road Suite 301, Wilton, CT 06897Phone Number
(203) 221-3085# of Employees
35SEC notice filing (16 States and Territories)
Registered to provide investment advisory services in 16 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
3,177AUM (Assets Under Management)
$1,487,605,211Similar Advisors
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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.
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Primary Firm SEC Registration
MONEY MINDSET WEALTH MANAGEMENT | TRIVIUM POINT ADVISORY, LLC | PARADIGM WEALTH ADVISORS, LLC | PARADIGM FINANCIAL PARTNERS, LLC
State Registrations and Notice Filings
(10/21/2020)
(9/25/2020)
(9/25/2020)
(10/21/2020)
(10/21/2020)
(9/25/2020)
(9/25/2020)
(10/23/2025)
(10/21/2020)
(5/3/2026)
(10/30/2020)
(11/2/2020)
(10/21/2020)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Apr 1990Series 22 — Direct Participation Programs Representative Examination
Passed Sep 1984About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1983About the Series 6 examSeries 39 — Direct Participation Programs Principal Examination
Passed Aug 1988About the Series 39 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view James Allen Thompson's CRS (Customer Relationship Summary).
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