Christopher Kip W. Thompson

LPL ENTERPRISE

CHAMPAIGN, IL 61822

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CRD#: 1446862

Professional summary

Christopher Kip William Thompson, who also goes by Kip Thompson, Christopher Thompson, Christopher "kip" William Thompson, Christopher William Thompson, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Champaign, Illinois.

Christopher Kip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Christopher Kip has worked at 15 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kip Thompson | Christopher Thompson | Christopher "kip" William Thompson | Christopher William 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) 10/09/2024 - Paradox Commodities, Inc - Counselling in marketing and networking. There may be nothing done on any day with Paradox, if there is activity it is only to help their connections with other people in this business, no advice is given. The company is owned by myself and my wife - Business Entity for Tax/Investment Purposes Only - Non Inv Related - At CHAMPAIGN, IL - Start Date 10/27/2012 - 1hrs/mth - 1hrs/mth During Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Kip William Thompson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Christopher Kip William 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

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 2305 Village Green Pl Suite A, Champaign, IL 61822

RIA

CRD#: 8733

CHAMPAIGN, IL

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 2305 Village Green Pl Suite A, Champaign, IL 61822

RIA

CRD#: 8733

CHAMPAIGN, IL

Past

September 6, 2023 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Champaign, IL

Past

August 28, 2023 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

February 7, 2022 - September 8, 2023

BANKERS LIFE ADVISORY SERVICES, INC.

RIA

CRD#: 281285

Orland Park, IL

Past

September 21, 2021 - September 8, 2023

BANKERS LIFE SECURITIES, INC.

CRD#: 173962

ORLAND PARK, IL

Past

November 30, 2018 - December 31, 2020

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

SAN DIEGO, CA

Past

February 28, 2014 - December 31, 2016

SILVER LEAF PARTNERS, LLC

CRD#: 126694

NEW YORK, NY

Past

August 24, 2010 - December 6, 2011

MIDAMERICA FINANCIAL SERVICES, INC.

CRD#: 47351

CHICAGO, IL

Past

April 21, 2008 - August 11, 2008

GAR WOOD SECURITIES, LLC

CRD#: 138033

NAPERVILLE, IL

Past

February 26, 2003 - May 4, 2006

UHLMANN PRICE SECURITIES, LLC

CRD#: 42854

SKOKIE, IL

Past

August 9, 2002 - January 31, 2003

POLAR INVESTMENT COUNSEL, INC.

CRD#: 42847

THIEF RIVER FALLS, MN

Past

April 10, 1997 - July 22, 2002

MF GLOBAL INC.

CRD#: 6731

NEW YORK, NY

Past

January 28, 1995 - November 30, 1995

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

April 9, 1992 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

May 6, 1987 - April 13, 1992

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

December 23, 1985 - May 11, 1987

SCOTT & STRINGFELLOW, INC.

CRD#: 3309

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".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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).

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
(11/14/2024)

Illinois
(11/14/2024)

IAR

Illinois
(11/14/2024)

Indiana
(4/10/2025)

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: 1/3/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/8/1994

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 4/5/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/21/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/16/2001

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 3/13/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 3/13/2000

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORRISON, STEVEN PHILIP	SECRETARY	4529345
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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

Christopher Kip W. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Kip William Thompson's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Christopher Kip William Thompson's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

BANKERS LIFE ADVISORY SERVICES, INC.

BANKERS LIFE SECURITIES, INC.

FARMERS FINANCIAL SOLUTIONS, LLC

SILVER LEAF PARTNERS, LLC

MIDAMERICA FINANCIAL SERVICES, INC.

GAR WOOD SECURITIES, LLC

UHLMANN PRICE SECURITIES, LLC

POLAR INVESTMENT COUNSEL, INC.

MF GLOBAL INC.

UBS FINANCIAL SERVICES INC.

KIDDER, PEABODY & CO. INCORPORATED

PRUDENTIAL EQUITY GROUP, LLC

SCOTT & STRINGFELLOW, INC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/3/2019

Series 65

Date: 8/8/1994

SIE

Date: 12/31/2016

Series 3

Date: 4/5/1988

Series 7

Date: 12/21/1985

Series 24

Date: 3/16/2001

Series 10

Date: 3/13/2000

Series 9

Date: 3/13/2000

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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