James B. Tompkins

TOMPKINS & CO.

Denver, CO

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CRD#: 1374934

Professional summary

James Benjamin Tompkins is a registered financial advisor currently at TOMPKINS & CO. located in Denver, Colorado.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. James has worked at 2 firms and has passed the Series 63 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Benjamin Tompkins'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

February 16, 2021 - Present

TOMPKINS & CO.

RIA

CRD#: 157240

Denver, CO

Past

April 28, 2011 - December 31, 2017

TOMPKINS & CO.

RIA

CRD#: 157240

DENVER, CO

Past

September 27, 1995 - February 4, 1997

WM SMITH & CO.

CRD#: 30777

GREENWOOD VILLAGE, CO

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".

TOMPKINS & CO.

SOUTH LAKEVIEW, LLC | TOMPKINS & CO.

CRD#: 157240 / SEC#: 801-72281

RIA

Registered Investment Advisory firm - (4/27/2011 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.

Highlighted states indicate IAR registrations

IAR

Colorado
(2/16/2021)

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: 9/20/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/26/1995

General Securities Representative Examination

Current Firm

TOMPKINS & CO.

SOUTH LAKEVIEW, LLC | TOMPKINS & CO.

CRD#: 157240 / SEC#: 801-72281

RIA

Registered Investment Advisory firm - (4/27/2011 Approved)

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Contact information

Main Address

Denver, CO

Mailing Address

Phone number

(303) 804-0339

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV FORM 2A (4/2/2025)

FORM ADV PART 2 OTHER THAN ANNUAL AMENDMENT (4/2/2025)

FORM ADV PART 2 ANN AMEND (4/2/2025)

ADV FORM 2B (4/2/2025)

Regulatory assets under management

Total Number of Accounts	3
AUM (Assets Under Management)	$ 390,000,000

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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James B. Tompkins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Benjamin Tompkins's CRS (Customer Relationship Summary).

Certified licenses

Experience

TOMPKINS & CO.

TOMPKINS & CO.

WM SMITH & CO.

Primary Firm SEC Registration

TOMPKINS & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/20/1995

Series 7

Date: 9/26/1995

Current Firm

TOMPKINS & CO.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TOMPKINS & CO.

TRUST BUT VERIFY

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