Joseph D. Thompson

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CRD#: 1190706

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Joseph Daniel Thompson, who also goes by Joseph D Thompson, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1983. Joseph had worked at 13 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joseph D 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 6, 2018 - June 28, 2021

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

HURRICANE, WV

Past

April 12, 2018 - August 9, 2018

D.H. HILL SECURITIES, LLLP

CRD#: 41528

KINGWOOD, TX

Past

October 27, 2010 - March 2, 2016

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

HURRICANE, WV

Past

October 26, 2010 - March 2, 2016

INVEST FINANCIAL CORPORATION

CRD#: 12984

HURRICANE, WV

Past

May 4, 2007 - November 11, 2010

GROVE POINT INVESTMENTS, LLC

RIA

CRD#: 1763

CHARLESTON, WV

Past

May 2, 2007 - November 11, 2010

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

CHARLESTON, WV

Past

August 4, 2005 - May 8, 2007

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

CHARLESTON, WV

Past

June 16, 2005 - July 21, 2005

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

May 17, 2005 - June 17, 2005

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LINCOLN, NE

Past

January 1, 2004 - June 13, 2005

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

CHARLESTON, WV

Past

January 1, 2004 - June 13, 2005

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

January 22, 2003 - January 1, 2004

LOCUST STREET SECURITIES, INC.

RIA

CRD#: 1703

LEXINGTON, KY

Past

January 21, 2003 - January 1, 2004

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

March 9, 2001 - December 31, 2002

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

LEXINGTON, KY

Past

February 15, 2001 - December 31, 2002

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

September 25, 1990 - February 20, 2001

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

April 26, 1990 - September 27, 1990

DANIEL & DANIEL SECURITIES CORPORATION

CRD#: 18813

Past

February 3, 1988 - May 4, 1990

BUTCHER & SINGER INC.

CRD#: 6517

Past

January 9, 1986 - March 4, 1988

LEHMAN BROTHERS INC.

CRD#: 7506

Past

September 23, 1983 - January 10, 1986

MORGAN STANLEY DW INC.

CRD#: 7556

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".

AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA

Registered Investment Advisory firm - (2/17/2016 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 9/30/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/9/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/21/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 9/17/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/22/1991

General Securities Principal Examination

Current Firm

AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA

Registered Investment Advisory firm - (2/17/2016 Approved)

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Contact information

Main Address

2950 Sw Mcclure Road Suite B, Topeka, KS 66614

Mailing Address

Phone number

(866) 363-9595

Established

Firm type

Fiscal year end

# of Employees

602

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 (10/1/2025)

FORM ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	111,059
AUM (Assets Under Management)	$ 37,525,706,084

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

Joseph D. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

D.H. HILL SECURITIES, LLLP

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

GROVE POINT INVESTMENTS, LLC

GROVE POINT INVESTMENTS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

ALLSTATE FINANCIAL SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

LOCUST STREET SECURITIES, INC.

LOCUST STREET SECURITIES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

LPL FINANCIAL LLC

DANIEL & DANIEL SECURITIES CORPORATION

BUTCHER & SINGER INC.

LEHMAN BROTHERS INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/30/1983

SIE

Date: 8/9/2018

Series 3

Date: 4/21/1986

Series 7

Date: 9/17/1983

Series 24

Date: 4/22/1991

Current Firm

AE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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