James S. Thompson
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.
James Stanley Thompson, CFP®, who also goes by Jim Thompson, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 9 firms and has passed the Series 63, Series 52TO, Series 7TO, Series 6TO, SIE, Series 7, Series 6, Series 24, Series 26 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1996
Experience
November 1, 2021 - December 7, 2021
AMERITAS ADVISORY SERVICES, LLC
May 21, 2018 - November 1, 2021
AMERITAS INVESTMENT COMPANY, LLC
May 21, 2018 - December 7, 2021
AMERITAS INVESTMENT COMPANY, LLC
January 30, 2018 - February 12, 2018
MML INVESTORS SERVICES, LLC
October 12, 2011 - February 12, 2018
MML INVESTORS SERVICES, LLC
November 2, 2009 - September 8, 2011
ON INVESTMENT MANAGEMENT CO
November 2, 2009 - September 8, 2011
THE O.N. EQUITY SALES COMPANY
July 31, 2006 - September 29, 2009
MML INVESTORS SERVICES, LLC
April 28, 2006 - September 29, 2009
MML INVESTORS SERVICES, LLC
December 1, 2005 - May 16, 2006
PARK AVENUE SECURITIES LLC
September 8, 2000 - October 6, 2005
FARMERS FINANCIAL SOLUTIONS, LLC
April 26, 2000 - September 8, 2000
INVESTORS BROKERAGE SERVICES, INC.
July 21, 1987 - September 1, 1999
COUNTRY CAPITAL MANAGEMENT COMPANY
Primary Firm SEC Registration
AMERITAS ADVISORY SERVICES, LLC
CRD#: 317245 / SEC#: 801-55153
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 7TO
Date: 7/1/2022
General Securities Representative ExaminationSeries 6TO
Date: 7/1/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
AMERITAS ADVISORY SERVICES, LLC
CRD#: 317245 / SEC#: 801-55153
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 41,501 |
| AUM (Assets Under Management) | $ 11,506,548,514 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 07/23/2024 | ||
| 07/27/2023 |
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.
