Robert D. Thompson

R.D. THOMPSON INVESTMENTS

SALT LAKE CITY, UT 84102

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CRD#: 2044631

Professional summary

Robert Douglas Thompson, who also goes by Robert Thompson, is a registered financial advisor currently at R.D. THOMPSON INVESTMENTS located in Salt Lake City, Utah.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Robert has worked at 1 firm and has passed the Series 3 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Robert 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Douglas 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®

None

Experience

Current

January 1, 2004 - Present

R.D. THOMPSON INVESTMENTS

Office #1: 807 E. South Temple Suite 202, Salt Lake City, UT 84102

RIA

CRD#: 104738

SALT LAKE CITY, UT

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

Utah
(1/1/2004)

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

General Industry/Product Exam

Series 3

Date: 3/7/1990

National Commodity Futures Examination

Current Firm

R.D. THOMPSON INVESTMENTS

R.D. THOMPSON INVESTMENTS | THOMPSON ROBERT DOULGAS | THOMPSON ROBERT DOUGLAS

CRD#: 104738 / SEC#: 801-21656

RIA

Registered Investment Advisory firm - (6/27/2012 Terminated)

Utah

Registered Investment Advisory firm - (6/25/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

699 East South Temple, Ste 230, Salt Lake City, UT 84102-4228

Mailing Address

Phone number

(801) 363-1952

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	29
AUM (Assets Under Management)	$ 75,555,316

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.

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Robert D. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Douglas Thompson's CRS (Customer Relationship Summary).

Certified licenses

Experience

R.D. THOMPSON INVESTMENTS

State Registrations and Notice Filings

Exams

Series 3

Date: 3/7/1990

Current Firm

R.D. THOMPSON INVESTMENTS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

R.D. THOMPSON INVESTMENTS

TRUST BUT VERIFY

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