Troy L. Thompson
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
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Troy Lee Thompson's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1992
Experience
January 2, 2003 - Present
FIRST HEARTLAND CONSULTANTS, INC.
Office #1: 1213 Se Marshall St, Boone, IA 50036November 11, 2002 - Present
FIRST HEARTLAND CAPITAL, INC.
Office #1: 1213 Se Marshall St, Boone, IA 50036Office #2: 1329 1st Ave South, Fort Dodge, IA 50501August 5, 2002 - November 12, 2002
THRIVENT INVESTMENT MANAGEMENT INC.
July 1, 2002 - November 12, 2002
THRIVENT INVESTMENT MANAGEMENT INC.
April 30, 1999 - August 5, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
November 7, 1988 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
Primary Firm SEC Registration
FIRST HEARTLAND CONSULTANTS, INC.
CRD#: 110377 / SEC#: 801-46595
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/19/2023)
(1/15/2008)
(4/17/2003)
(7/1/2019)
(3/14/2003)
(8/12/2008)
(11/11/2002)
(1/2/2003)
(1/3/2012)
(4/28/2017)
(7/9/2018)
(4/4/2003)
(1/3/2005)
(10/8/2007)
(7/3/2018)
(3/25/2003)
(2/18/2025)
(8/9/2019)
(8/25/2014)
(3/8/2011)
(8/5/2024)
(3/10/2008)
(3/12/2013)
(4/26/2024)
Exams
FINRA
Current Firm
FIRST HEARTLAND CONSULTANTS, INC.
CRD#: 110377 / SEC#: 801-46595
Contact information
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
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.
Company Information
FIRST HEARTLAND CONSULTANTS, INC.
CRD#: 110377Boone, IA 50036TRUST BUT VERIFY
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