Jeffrey A. Thompson

STONERIDGE WEALTH ADVISORS

Phoenixville, PA

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CRD#: 1775952

Professional summary

Jeffrey Alan Thompson, CFP® is a registered financial advisor currently at STONERIDGE WEALTH ADVISORS, LLC located in Phoenixville, Pennsylvania.

Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Jeffrey has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Jeff A. Thompson; the business is investment-related; 5 Great Valley Parkway, Suite 337, Malvern, PA 19355-1473; Jeff A. Thompson is an insurance producer; since 06/2006; Jeff devotes approximately one hour per month to his insurance-producer business, some of which might be during securities-trading hours; Jeff is authorized to solicit applications for annuity and life insurance contracts.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Alan Thompson'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®

CFP^®

Certified Financial Planner

Experience

Current

October 19, 2006 - Present

STONERIDGE WEALTH ADVISORS, LLC

Office #2: 101 Lindenwood Drive, Suite 225, Malvern, PA 19355-1762

RIA

CRD#: 140469

Phoenixville, PA

Past

November 17, 2010 - September 27, 2016

CETERA ADVISORS LLC

RIA

CRD#: 10299

MALVERN, PA

Past

November 17, 2010 - September 27, 2016

CETERA ADVISORS LLC

CRD#: 10299

MALVERN, PA

Past

March 1, 2006 - November 19, 2010

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

MALVERN, PA

Past

March 1, 2006 - November 19, 2010

FSC SECURITIES CORPORATION

CRD#: 7461

MALVERN, PA

Past

August 16, 2002 - February 27, 2006

SMH CAPITAL ADVISORS LLC

RIA

CRD#: 108344

EXTON, PA

Past

March 4, 2002 - March 10, 2006

CARNEGIE WEALTH ADVISORS, LLC

RIA

CRD#: 117763

EXTON, PA

Past

December 3, 2001 - February 27, 2006

SANDERS MORRIS LLC

CRD#: 20580

HOUSTON, TX

Past

October 1, 1999 - December 3, 2001

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

April 2, 1998 - September 28, 1999

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Past

November 14, 1997 - February 26, 1998

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

October 5, 1994 - November 17, 1997

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

December 3, 1991 - September 30, 1994

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

December 3, 1991 - September 30, 1994

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

June 21, 1991 - November 12, 1991

DERAND/PENNINGTON/BASS, INC.

CRD#: 4679

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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(10/19/2006)

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: 8/19/1991

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/25/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/27/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/19/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/19/1995

General Securities Principal Examination

Current Firm

STONERIDGE WEALTH ADVISORS, LLC

JEFF A. THOMPSON | STONERIDGEWEALTH.COM | STONERIDGE WEALTH ADVISORS, LLC | STONERIDGE WEALTH ADVISORS | JEFFREY ALAN THOMPSON

CRD#: 140469 / SEC#:

Pennsylvania

Registered Investment Advisory firm - (9/29/2006 Approved)

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Contact information

Main Address

Bangor, PA

Mailing Address

101 Lindenwood Drive, Suite 225, Malvern, PA 19355-1762

Phone number

(484) 875-3171

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	108
AUM (Assets Under Management)	$ 19,853,841

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Jeffrey A. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Alan Thompson's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

SMH CAPITAL ADVISORS LLC

CARNEGIE WEALTH ADVISORS, LLC

SANDERS MORRIS LLC

IFG NETWORK SECURITIES, INC.

VANGUARD MARKETING CORPORATION

FSC SECURITIES CORPORATION

IFG NETWORK SECURITIES, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

DERAND/PENNINGTON/BASS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/19/1991

Series 63

Date: 6/25/1991

SIE

Date: 9/27/2016

Series 7

Date: 6/19/1991

Series 24

Date: 10/19/1995

Current Firm

STONERIDGE WEALTH ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STONERIDGE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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