Daniel J. Thompson

OSAIC WEALTH

Butte, MT 59701

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CRD#: 2300721

Professional summary

Daniel James Thompson, who also goes by Dan Thompson, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Butte, Montana.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Daniel has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dan 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. SUMMIT FINANCIAL ADVISORS POSITION: Owner - NATURE: Sole Proprietorship - INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 11/01/1994 ADDRESS: 129 W. Park St., Suite 303, Butte MT 59701, United States DESCRIPTION: Find appropriate life insurance policies for client's who request the service. I do not actively solicit insurance business. 2. THOMPSON WEALTH MANAGEMENT, P.C. POSITION: President NATURE: Corporation, Sub Chapter S Corporation, Professional Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 05/01/2016 ADDRESS: 129 W. Park St., Suite 303, Butte MT 59701, United States DESCRIPTION: I set up this sub Chapter S Professional Corporation to help minimize taxes, help with payroll and accounting. The only purporse of this is to run business expenses through the Professional Corporation. My duties include paying bills, managing the expenses, report to accountant quarterly on wages, etc. This business will not be marketed to the public. It's only purpose is to help minimize taxes. Because this is a Sub Chapter S Professional Corporation, all income will flow into the entity and then back out through wages, dividends and expenses. 3. CPK LLC POSITION: Member NATURE: This is an LLC that was formed to own the building that we currently rent in and lease out the additional space to other businesses. INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2021 ADDRESS: 129 W. Park St., Butte MT 59701, United States DESCRIPTION: Change light bulbs, light fixtures, general maintenance and upkeep. 4. MCGUINNESS TRACTS HOA POSITION: Board Member NATURE: This is a homeowner's association. I would serve on the board. It is not securities related and I would spend approximately 1 to 2 hours a month serving on the board, not during normal working hours. No compensation and the HOA is basically dissolved so they do not collect any monthly fees from people of McGuinness Tracts, only special once in a while allocations. I would serve as a board member, not an officer of the HOA. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/24/2025 ADDRESS: 2535 Apex Lane, Butte MT 59701, United States DESCRIPTION: Voting on issues presented to the board, such as special assessments to members to improve roadways, provide better fire protection, etc.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel James Thompson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Daniel James Thompson's CRS (Customer Relationship Summary).

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

December 19, 2002 - Present

OSAIC WEALTH, INC.

Office #1: 129 W Parkst Suite 303, Butte, MT 59701

RIA

CRD#: 23131

Butte, MT

Current

November 28, 1994 - Present

OSAIC WEALTH, INC.

Office #1: 129 W Parkst Suite 303, Butte, MT 59701

RIA

CRD#: 23131

Butte, MT

Past

September 26, 2003 - December 7, 2009

APEX ADVISORY SERVICES, INC.

RIA

CRD#: 120503

BILLINGS, MT

Past

December 10, 1992 - December 1, 1994

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

December 10, 1992 - December 1, 1994

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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.

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

Alabama
(6/6/2014)

IAR

Alabama
(2/29/2024)

Alaska
(2/2/2000)

IAR

Alaska
(1/20/2012)

Arizona
(8/13/1998)

Arkansas
(6/6/2014)

California
(10/27/1999)

IAR

California
(4/12/2013)

Colorado
(9/3/2002)

IAR

Colorado
(2/29/2024)

Connecticut
(4/30/2014)

Delaware
(1/5/2016)

District of Columbia
(4/17/2014)

Florida
(12/8/2011)

IAR

Florida
(12/9/2011)

Georgia
(6/6/2014)

Hawaii
(6/6/2014)

Idaho
(10/28/1999)

Illinois
(8/16/2012)

Indiana
(6/6/2014)

Iowa
(3/7/2014)

Kansas
(3/7/2014)

Louisiana
(6/6/2014)

Maine
(6/2/2008)

Maryland
(4/17/2014)

Massachusetts
(6/6/2014)

Michigan
(2/20/2013)

Minnesota
(10/30/2019)

Mississippi
(5/16/2014)

Missouri
(6/6/2014)

Montana
(11/28/1994)

IAR

Montana
(12/19/2002)

Nebraska
(5/16/2014)

Nevada
(10/24/2013)

New Jersey
(6/6/2014)

New Mexico
(11/1/2001)

New York
(5/5/2004)

North Carolina
(4/17/2014)

North Dakota
(4/6/2020)

Ohio
(9/18/2000)

Oklahoma
(8/17/2021)

Oregon
(9/27/2000)

Pennsylvania
(7/30/2012)

Rhode Island
(6/6/2014)

South Carolina
(6/2/2014)

South Dakota
(5/29/2003)

Tennessee
(6/6/2014)

Texas
(4/11/2005)

IAR

Texas
(3/4/2024)

Utah
(9/27/2000)

Vermont
(1/12/2012)

Virginia
(3/7/2014)

Washington
(8/12/1998)

IAR

Washington
(1/19/2012)

West Virginia
(6/6/2014)

Wisconsin
(3/2/2000)

Wyoming
(4/11/2001)

IAR

Wyoming
(3/7/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/6/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/8/1992

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: 12/7/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 3/26/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/22/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

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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Daniel J. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel James Thompson's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Daniel James Thompson's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

APEX ADVISORY SERVICES, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/6/1994

Series 63

Date: 12/8/1992

SIE

Date: 10/1/2018

Series 7

Date: 12/7/1992

Series 51

Date: 3/26/2003

Series 24

Date: 12/22/1998

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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