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Charles Lloyd Thompson Jr

CFP®
CRD# 1497666·Registered 1986 - 2024
Previously Registered: Being a previously registered professional could mean that Charles 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.

Professional Summary

Charles Lloyd Thompson JR, CFP®, who also goes by Chuck Thompson, Toimmy Thompson Jr, Charles Lloyd Thompson, was a registered financial advisor. Charles was a previously registered financial professional and started their career in finance 1986 - 2024. Charles had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Services Offered

  • Insurance Planning
  • Long-term Care
  • Retirement Planning
  • Tax Planning
  • Social Security Planning
  • Estate Planning
  • Comprehensive Financial Planning
  • Retirement Income Management
  • Investment Planning

Other Aliases

Chuck Thompson, Toimmy Thompson Jr, Charles Lloyd Thompson

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Credentials

CFP®
Certified Financial PlannerSince 1993

Years of Experience

40 years in the financial services industry

Current & Past Employments

AVANTAX ADVISORY SERVICES·CRD# 104556
RIA
Biloxi, MS
October 18, 2017 - July 26, 2024
AVANTAX INVESTMENT SERVICES, INC.·CRD# 13686
BD
Biloxi, MS
October 18, 2017 - July 26, 2024
NATIONAL PLANNING CORPORATION·CRD# 29604
RIA
Biloxi, MS
December 14, 2015 - October 27, 2017
NATIONAL PLANNING CORPORATION·CRD# 29604
BD
Biloxi, MS
December 14, 2015 - October 27, 2017
NEXT FINANCIAL GROUP, INC.·CRD# 46214
RIA
Biloxi, MS
January 22, 2009 - December 14, 2015
NEXT FINANCIAL GROUP, INC.·CRD# 46214
BD
Biloxi, MS
January 22, 2009 - December 14, 2015
OSAIC SERVICES, INC.·CRD# 133763
BD
Biloxi, MS
October 31, 2005 - January 27, 2009
THOMPSON, DIAZ, BAXTER AND ASSOC.·CRD# 116518
RIA
Biloxi, MS
September 20, 2001 - October 27, 2009
SUNAMERICA SECURITIES, INC.·CRD# 20068
BD
Phoenix, AZ
June 25, 1993 - October 31, 2005
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
Minneapolis, MN
May 23, 1986 - July 1, 1993

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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

Contact Information

Main Address

3200 Olympus Blvd Suite 100, Dallas, TX 75019

Phone Number

(972) 870-6000

# of Employees

2,278

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (3/31/2025)

Regulatory Assets Under Management

Total Number of Accounts

140,306

AUM (Assets Under Management)

$46,109,939,749

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
12/13/2024Cover PageReport
11/28/2023Cover PageReport

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Dec 1998About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1997About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 1986About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Sep 1993About the Series 24 exam

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CRS (Client Relationship Summary)

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

Services Offered by Charles

  • Insurance Planning
  • Long-term Care
  • Retirement Planning
  • Tax Planning
  • Social Security Planning
  • Estate Planning
  • Comprehensive Financial Planning
  • Retirement Income Management
  • Investment Planning

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