Thomas Hines

THOMPSON CAPITAL MANAGEMENT

Crystal Lake, IL

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CRD#: 2347817

Professional summary

Thomas Hines, who also goes by Thomas William Hines, is a registered financial advisor currently at THOMPSON CAPITAL MANAGEMENT, LLC located in Crystal Lake, Illinois.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Thomas has worked at 7 firms and has passed the Series 66, Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas William Hines

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 Thomas Hines'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

April 21, 2021 - Present

THOMPSON CAPITAL MANAGEMENT, LLC

RIA

CRD#: 300993

Crystal Lake, IL

Past

April 9, 2021 - April 14, 2021

THOMPSON CAPITAL MANAGEMENT, LLC

RIA

CRD#: 300993

INDIAN HEAD PARK, IL

Past

November 13, 2018 - September 24, 2021

LOWERY ASSET CONSULTING, LLC

RIA

CRD#: 121712

Chicago, IL

Past

September 27, 2010 - July 22, 2011

ACCESS FUND MANAGEMENT, LLC

RIA

CRD#: 125247

GLENVIEW, IL

Past

September 15, 2010 - May 18, 2018

GOOD HARBOR FINANCIAL

RIA

CRD#: 127351

BARRINGTON, IL

Past

October 20, 2006 - April 21, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHICAGO, IL

Past

October 12, 2006 - April 21, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHICAGO, IL

Past

June 11, 1993 - May 23, 1994

IDS LIFE INSURANCE COMPANY

CRD#: 6321

Past

June 11, 1993 - May 23, 1994

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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".

THOMPSON CAPITAL MANAGEMENT, LLC

CRD#: 300993 / SEC#: 801-114939

RIA

Registered Investment Advisory firm - (4/2/2019 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.

Highlighted states indicate IAR registrations

IAR

Illinois
(4/21/2021)

IAR

Texas
(5/4/2022)

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 66

Date: 10/19/2006

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/5/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/18/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/11/2006

General Securities Representative Examination

Current Firm

THOMPSON CAPITAL MANAGEMENT, LLC

CRD#: 300993 / SEC#: 801-114939

RIA

Registered Investment Advisory firm - (4/2/2019 Approved)

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Contact information

Main Address

Indian Head Park, IL

Mailing Address

Phone number

(312) 278-1003

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A (3/5/2025)

Regulatory assets under management

Total Number of Accounts	600
AUM (Assets Under Management)	$ 183,083,134

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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Firm Stability Insights

Thomas Hines

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Hines's CRS (Customer Relationship Summary).

Certified licenses

Experience

THOMPSON CAPITAL MANAGEMENT, LLC

LOWERY ASSET CONSULTING, LLC

ACCESS FUND MANAGEMENT, LLC

GOOD HARBOR FINANCIAL

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

THOMPSON CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/19/2006

Series 65

Date: 12/5/1995

Series 63

Date: 6/18/1993

Series 7

Date: 10/11/2006

Current Firm

THOMPSON CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THOMPSON CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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