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CT

Charles L. Thompson

Some features on this profile are disabled
CRD#: 1497666
CT

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.

Charles Lloyd Thompson JR, CFP®, who also goes by Chuck Thompson, Toimmy Thompson Jr, Charles Lloyd Thompson, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1986. Charles had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

What are your service offerings?
Insurance Planning
Long-term Care
Retirement Planning
Tax Planning
Social Security Planning
Estate Planning
Comprehensive Financial Planni...
Retirement Income Management
Investment Planning
Are you a "fiduciary"?
No

Aliases

Chuck Thompson | Toimmy Thompson Jr | Charles Lloyd 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) Avantax Insurance Agency Inc~6333 North State Hwy 161~Irving~TX~75038~Equity Indexed Annuity~Agent~10/23/2017~15hrs~15hrs~I may have the ability to sell any, or all of the following products: variable annuities, fixed annuities, any/all types of index annuities, variable insurance (e.g. VUL/VIL). 2) Strategic Retirement Solutions~2635 Pass Road, Suite A~Biloxi~MS~39531~Other~Owner~10/18/2017~100hrs~90hrs~All aspects of running a business including supervising employees, doing payroll, paying bills, Public relations, etc. 3) Journey Beyond Self~2635 Pass Road, Suite A~Biloxi~MS~39531~Other~Owner~6/15/2018~40hrs~40hrs~I will interface with churches, charities, and other professionals in educational and promotional activities relative to charitable giving. I will market charitable giving through my website, social media, and relationships with others. A great deal of effort will be involved in the development of social media content and the coordination of the overall marketing program.

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®
CFP®

Certified Financial Planner

Start date: 1993

Experience

Past

October 18, 2017 - July 26, 2024

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
Biloxi, MS
Past

October 18, 2017 - July 26, 2024

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
Biloxi, MS
Past

December 14, 2015 - October 27, 2017

NATIONAL PLANNING CORPORATION

RIA
CRD#: 29604
BILOXI, MS
Past

December 14, 2015 - October 27, 2017

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
BILOXI, MS
Past

January 22, 2009 - December 14, 2015

NEXT FINANCIAL GROUP, INC.

RIA
CRD#: 46214
BILOXI, MS
Past

January 22, 2009 - December 14, 2015

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
BILOXI, MS
Past

October 31, 2005 - January 27, 2009

OSAIC SERVICES, INC.

BD
CRD#: 133763
BILOXI, MS
Past

September 20, 2001 - October 27, 2009

THOMPSON, DIAZ, BAXTER AND ASSOC.

RIA
CRD#: 116518
BILOXI, MS
Past

June 25, 1993 - October 31, 2005

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

May 23, 1986 - July 1, 1993

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/10/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/28/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/17/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/29/1993
General Securities Principal Examination

Current Firm

AA
AVANTAX ADVISORY SERVICES
1ST GLOBAL ADVISORY SERVICES | HD VEST ADVISORY SERVICES | H.D. VEST ADVISORY SERVICES, INC | AVANTAX WEALTH MANAGEMENT | AVANTAX ADVISORY SERVICES, INC. | AVANTAX ADVISORY SERVICES

CRD#: 104556 / SEC#: 801-29892

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Contact information

Main Address
3200 Olympus Blvd Suite 100, Dallas, TX 75019
Mailing Address
Phone number
(972) 870-6000
Established
Firm type
Fiscal year end
# of Employees
2,278

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (3/31/2025)
AAS ADV PART 2A APPENDIX WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts140,306
AUM (Assets Under Management)$ 46,109,939,749

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/13/2024
Cover Page
Report
11/28/2023
Cover Page
Report
12/16/2022
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.

Company Information

AVANTAX ADVISORY SERVICES

CRD#: 104556

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