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Troy L. Thompson
FIRST HEARTLAND CONSULTANTS
BOONE, IA 50036
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CRD#: 1873172
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Professional summary
Troy Lee Thompson, CFP® is a registered financial advisor currently at FIRST HEARTLAND CONSULTANTS, INC. located in Boone, Iowa and FIRST HEARTLAND CAPITAL, INC. located in Boone, Iowa.
Troy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Troy has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
1. CINCINNATI LIFE. Investment related. SALE OF FIXED PRODUCTS. Agent/broker. Start date: 12/23/09. 2. FIRST HEARTLAND CONSULTANTS. Investment related. INVESTMENT ADVISORY SERVICES. IAR. Start date: 11/11/02. 3. WELLMARK BC/BS. Investment related. Agent/broker. SALES OF HEALTH PRODUCTS IN IA. Start date: 1/4/05. 4. THOMPSON FINANCIAL. Investment related. Owner. SALE AND DISTRIBUTION OF INSURANCE. Start date: 1/4/05. 5. BOONE COUNTY HOSPITAL. Not investment relate. VOLUNTEER MEMBER. BOARD OF TRUSTEES. Start date: 1/24/13. 6. First Heartland Corporation . Investment related. Agent/broker. Sale of insurance and fixed products. Start date: 11/1/02.
CRS (Client Relationship Summary) - RIA
Click below to view Troy Lee 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®
Start date: 1992
Experience
Current
January 2, 2003 - Present
FIRST HEARTLAND CONSULTANTS, INC.
Office #1: 1213 Se Marshall St, Boone, IA 50036RIA
CRD#: 110377
BOONE, IA
Current
November 11, 2002 - Present
FIRST HEARTLAND CAPITAL, INC.
Office #1: 1213 Se Marshall St, Boone, IA 50036Office #2: 1329 1st Ave South, Fort Dodge, IA 50501BD
CRD#: 32460
Boone, IA
Past
August 5, 2002 - November 12, 2002
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
BOONE, IA
Past
July 1, 2002 - November 12, 2002
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
Past
April 30, 1999 - August 5, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
RIA
CRD#: 4205
BOONE, IA
Past
November 7, 1988 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
BD
CRD#: 4205
MINNEAPOLIS, MN
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".
FH
FIRST HEARTLAND CONSULTANTS, INC.
FIRST HEARTLAND ADVISORS INC | FIRST HEARTLAND CONSULTANTS, INC.
CRD#: 110377 / SEC#: 801-46595
RIA
Registered Investment Advisory firm - (5/23/1994 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(7/19/2023)
RR
Arizona(1/15/2008)
RR
Colorado(4/17/2003)
RR
Florida(7/1/2019)
RR
Illinois(3/14/2003)
RR
Indiana(8/12/2008)
RR
Iowa(11/11/2002)
IAR
Iowa(1/2/2003)
RR
Kansas(1/3/2012)
RR
Maryland(4/28/2017)
RR
Michigan(7/9/2018)
RR
Minnesota(4/4/2003)
RR
Missouri(1/3/2005)
RR
Nebraska(10/8/2007)
RR
Nevada(7/3/2018)
RR
Oklahoma(3/25/2003)
RR
Pennsylvania(2/18/2025)
RR
South Carolina(8/9/2019)
RR
South Dakota(8/25/2014)
RR
Texas(3/8/2011)
IAR
Texas(8/5/2024)
RR
Virginia(3/10/2008)
RR
Washington(3/12/2013)
RR
Wisconsin(4/26/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FH
FIRST HEARTLAND CONSULTANTS, INC.
FIRST HEARTLAND ADVISORS INC | FIRST HEARTLAND CONSULTANTS, INC.
CRD#: 110377 / SEC#: 801-46595
RIA
Registered Investment Advisory firm - (5/23/1994 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4101 Lake St. Louis Blvd, Lake St. Louis, MO 63367
Mailing Address
Phone number
(636) 625-0900
Established
Firm type
Fiscal year end
# of Employees
92
SEC notice filing (52 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 9,231 |
| AUM (Assets Under Management) | $ 1,771,078,009 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/13/2025 | ||
| 08/12/2024 | ||
| 12/07/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FIRST HEARTLAND CONSULTANTS, INC.
CRD#: 110377Boone, IA 50036TRUST BUT VERIFY
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