James A. Thompson

TRIVIUM POINT ADVISORY

WHITE PLAINS, NY 10604

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CRD#: 1175981

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 Plans, 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 Series 39 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) Mr. Thompson is dually registered with LPL Financial, LLC ("LPL Financial") and Trivium Point Advisory, LLC ("TPA"). Mr. Thompson has served as an investment advisor representative for TPA and as a registered representative for LPL Financial since October 2025. Business is conducted from 711 Westchester Ave., Suite 305, White Plains, NY, 10604. Approximately 10% of Mr. Thompson's time is for services as a registered representative and the balance as an investment advisor representative. 2) Licensed insurance agent; Not investment-related; 711 Westchester Ave., Suite 305, White Plains, NY, 10604; Insurance sales; Implementation of insurance recommendations; 10 hours per month, 0 during trading hours; Licensed insurance agent

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Allen Thompson's CRS (Customer Relationship Summary).

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

October 23, 2025 - Present

TRIVIUM POINT ADVISORY, LLC

Office #1: 711 Westchester Ave. Suite 305, White Plains, NY 10604

RIA

CRD#: 292182

WHITE PLAINS, NY

Current

September 25, 2020 - Present

LPL FINANCIAL LLC

Office #1: 711 Westchester Ave, Suite 305, White Plans, NY 10604

RIA

CRD#: 6413

WHITE PLANS, NY

Past

August 3, 2021 - April 24, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

TARRYTOWN, NY

Past

January 18, 2018 - October 1, 2020

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

ELMSFORD, NY

Past

March 25, 2017 - October 1, 2020

MML INVESTORS SERVICES, LLC

CRD#: 10409

ELMSFORD, NY

Past

January 29, 2010 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

ELMSFORD, NY

Past

September 12, 2006 - January 25, 2010

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

TARRYTOWN, NY

Past

June 9, 2003 - January 25, 2010

NATIONAL PLANNING CORPORATION

CRD#: 29604

TARRYTOWN, NY

Past

March 20, 2003 - June 3, 2003

AMERIPROP, INC.

CRD#: 24305

MELVILLE, NY

Past

March 1, 1989 - February 26, 2003

THE THOMPSON GROUP, INC.

CRD#: 21812

WHITE PLAINS, NY

Past

September 26, 1983 - December 31, 1989

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

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".

TRIVIUM POINT ADVISORY, LLC

MONEY MINDSET WEALTH MANAGEMENT | TRIVIUM POINT ADVISORY, LLC | PARADIGM WEALTH ADVISORS, LLC | PARADIGM FINANCIAL PARTNERS, LLC

CRD#: 292182 / SEC#: 801-112426

RIA

Registered Investment Advisory firm - (2/9/2018 Approved)

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.

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

California
(10/21/2020)

Connecticut
(9/25/2020)

Florida
(9/25/2020)

Idaho
(10/21/2020)

Massachusetts
(10/21/2020)

New Jersey
(9/25/2020)

New York
(9/25/2020)

IAR

New York
(10/23/2025)

North Carolina
(10/21/2020)

Pennsylvania
(10/30/2020)

South Carolina
(11/2/2020)

Virginia
(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

State Security Law Exam

Series 63

Date: 9/14/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/29/2014

General Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 4/20/1990

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 22

Date: 9/14/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 9/23/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/14/1990

General Securities Principal Examination

Principal/Supervisory Exam

Series 39

Date: 8/10/1988

Direct Participation Programs Principal Examination

SRO Registrations

FINRA

Current Firm

TRIVIUM POINT ADVISORY, LLC

MONEY MINDSET WEALTH MANAGEMENT | TRIVIUM POINT ADVISORY, LLC | PARADIGM WEALTH ADVISORS, LLC | PARADIGM FINANCIAL PARTNERS, LLC

CRD#: 292182 / SEC#: 801-112426

RIA

Registered Investment Advisory firm - (2/9/2018 Approved)

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Contact information

Main Address

40 Danbury Road Suite 310, Wilton, CT 06897

Mailing Address

Phone number

(203) 221-3085

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PARADIGM FINANCIAL PARTNERS, LLC PART 2A DISCLOSURE BROCHURE (8/6/2025)

Regulatory assets under management

Total Number of Accounts	3,177
AUM (Assets Under Management)	$ 1,487,605,211

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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James A. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Allen Thompson's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

AMERIPROP, INC.

THE THOMPSON GROUP, INC.

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

TRIVIUM POINT ADVISORY, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/14/1984

SIE

Date: 10/1/2018

Series 7

Date: 1/29/2014

Series 62

Date: 4/20/1990

Series 22

Date: 9/14/1984

Series 6

Date: 9/23/1983

Series 24

Date: 9/14/1990

Series 39

Date: 8/10/1988

FINRA

Current Firm

TRIVIUM POINT ADVISORY, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRIVIUM POINT ADVISORY, LLC

TRUST BUT VERIFY

Contact information

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