John W. Thompson
JW THOMPSON INVESTMENTS | Director Wealth Management
Singer Island, FL
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CRD#: 1465941
Professional summary
John William Thompson III, who also goes by John William Thompson, is a registered financial advisor currently at JW THOMPSON INVESTMENTS LLC located in Singer Island, Florida and LPL FINANCIAL LLC located in Providence, Rhode Island.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. John has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Biography
Mr. Thompson holds the designation of Certified Retirement Counselor and the following FINRA Securities Registrations held through LPL Financial:
FINRA Series 7 - General Securities Representative
FINRA Series 24 - General Securities Principal
FINRA Series 63 - Uniform Securities Agent
John also holds the following FINRA Securities Registration held through J.W. Thompson Investments:
FINRA Series 65 - Registered Investment Advisor
John is a graduate of Assumption College, Worcester, Massachusetts and was a founding partner of a local investment management firm prior to establishing JWTI in 1999. Prior to this John was Accounts Vice President with UBS formerly Paine Webber.
As Chief Investment Officer, John oversees the company's Investment Management Committee which directs the firm's investment strategies.
John has been a long standing guest of WJAR/NBC 10 with Frank Colletta providing investment commentary and retirement planning advice on their "Sun Rise Business Show" and "Money Watchers" program. John has served on the board of many non-profit organizations locally in Rhode Island including finance committee member for both Leadership Rhode Island and the United Way of Providence.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view John William Thompson III's 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®
NoneExperience
Current
June 14, 2005 - Present
JW THOMPSON INVESTMENTS LLC
Office #2: 245 Waterman Street Suite 301, Providence, RI 02906RIA
CRD#: 129281
Singer Island, FL
Current
July 15, 2013 - Present
LPL FINANCIAL LLC
Office #1: 245 Waterman Street, Suite 301, Providence, RI 02906RIA
BD
CRD#: 6413
Providence, RI
Past
May 29, 2015 - February 12, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
PROVIDENCE, RI
Past
September 10, 2004 - August 2, 2013
CANTELLA & CO., INC.
RIA
CRD#: 13905
PROVIDENCE, RI
Past
August 4, 1998 - August 2, 2013
CANTELLA & CO., INC.
BD
CRD#: 13905
PROVIDENCE, RI
Past
September 16, 1988 - August 10, 1998
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
March 19, 1986 - September 27, 1988
LEHMAN BROTHERS INC.
BD
CRD#: 7506
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.RR
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
RR
Alaska(3/22/2017)
RR
California(3/22/2017)
RR
Florida(7/15/2013)
IAR
Florida(5/26/2015)
RR
Georgia(7/15/2013)
RR
Maryland(7/25/2022)
IAR
Massachusetts(1/2/2013)
RR
Massachusetts(7/15/2013)
RR
New Jersey(1/29/2018)
RR
New York(7/15/2013)
IAR
New York(3/29/2023)
RR
North Carolina(2/21/2018)
RR
Oregon(10/8/2024)
RR
Pennsylvania(7/15/2013)
IAR
Rhode Island(6/14/2005)
RR
Rhode Island(7/15/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
JT
JW THOMPSON INVESTMENTS LLC
JW THOMPSON INVESTMENTS LLC
CRD#: 129281 / SEC#:
Florida
Registered Investment Advisory firm - (5/26/2015 Approved)Massachusetts
Registered Investment Advisory firm - (1/2/2013 Approved)New York
Registered Investment Advisory firm - (3/19/2015 Approved)Rhode Island
Registered Investment Advisory firm - (3/10/2000 Approved)Texas
Registered Investment Advisory firm - (12/3/2013 Terminated)PREMIUM
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Contact information
Main Address
Singer Island, FL
Mailing Address
Phone number
(561) 406-9998
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 130 |
| AUM (Assets Under Management) | $ 24,188,052 |
Red Flags
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Company Information
JW THOMPSON INVESTMENTS LLC
Director Wealth ManagementCRD#: 129281Singer Island, FLTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
