Jeffrey L. Thompson

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CRD#: 1707292

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.

Jeffrey Lynn Thompson, who also goes by Jeffrey L Thompson, was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 1987. Jeffrey had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jeffrey L 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. 08/30/2013 - 360 FINANCIAL/ RIA/ 100%/ MINNETONKA, MN 2. 08/30/2013 - 360 FINANCIAL/ DBA ONLY/ 100%/ MINNETONKA, MN

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®

None

Experience

Past

July 28, 2014 - July 30, 2024

360 FINANCIAL

RIA

CRD#: 168600

WAYZATA, MN

Past

August 30, 2013 - August 6, 2024

LPL FINANCIAL LLC

CRD#: 6413

WAYZATA, MN

Past

February 16, 2010 - August 30, 2013

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

MINNEAPOLIS, MN

Past

February 17, 2004 - December 23, 2009

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

SAINT PAUL, MN

Past

June 13, 2003 - December 16, 2003

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

SAINT PAUL, MN

Past

January 14, 2003 - December 23, 2009

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAINT PAUL, MN

Past

October 23, 1990 - December 10, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

August 24, 1987 - October 22, 1990

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

360 FINANCIAL

360 FINANCIAL | 360 FINANCIAL, INC.

CRD#: 168600 / SEC#: 801-78425

RIA

Registered Investment Advisory firm - (8/30/2013 Approved)

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.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/11/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/30/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/18/1987

General Securities Representative Examination

Current Firm

360 FINANCIAL

360 FINANCIAL | 360 FINANCIAL, INC.

CRD#: 168600 / SEC#: 801-78425

RIA

Registered Investment Advisory firm - (8/30/2013 Approved)

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Contact information

Main Address

849 Lake Street East, Wayzata, MN 55391

Mailing Address

Phone number

(952) 542-8900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	1,940
AUM (Assets Under Management)	$ 567,566,550

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Jeffrey L. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

COMMONWEALTH FINANCIAL NETWORK

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

MORGAN STANLEY DW INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

360 FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 6/11/2003

Series 63

Date: 7/30/1987

SIE

Date: 10/1/2018

Series 7

Date: 7/18/1987

Current Firm

360 FINANCIAL

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

360 FINANCIAL

TRUST BUT VERIFY

Contact information

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