JT
John D. Thompson
INVEST
Lexington, KY 40503
Some features on this profile are disabled
CRD#: 2584356
JT
Professional summary
John D Thompson is a registered financial advisor currently at INVEST INC. located in Lexington, Kentucky.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. John has worked at 2 firms and has passed the Series 63 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.
THOMPSON FINANCIAL GROUP, INC
NON INVESTMENT RELATED
2393 ALUMNI DR. STE 202
LEXINGTON, KY 40517
ACCOUNTING PRACTICE
PRESIDENT
FEBRUARY 2013-PRESENT
40 - MONTH
2 HOURS DURING TRADING HOURS
TAX AND BOOKKEEPING DUTIES.
MBWF, Inc
NON INVESTMENT RELATED
2393 ALUMNI DR. STE 202
LEXINGTON, KY 40517
ACCOUNTING CONSULTING PRACTICE
PRESIDENT
AUGUST 2011-PRESENT
1 - MONTH
0 HOURS DURING TRADING HOURS
TAX AND BOOKKEEPING DUTIES.
ONE FOUR THREE, LLC
NON INVESTMENT RELATED
2393 ALUMNI DR. STE 202
LEXINGTON, KY 40517
COMMERCIAL RENTAL COMPANY
MEMBER
JULY 2015-PRESENT
1 - MONTH
0 HOURS DURING TRADING HOURS
TAX AND BOOKKEEPING DUTIES.
CRS (Client Relationship Summary) - RIA
Click below to view John D 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®
NoneExperience
Current
January 13, 2014 - Present
INVEST INC.
Office #1: 444 Lewis Hargett Circle, Ste 125, Lexington, KY 40503RIA
CRD#: 146357
Lexington, KY
Past
January 11, 2011 - December 31, 2013
INVEST INC.
RIA
CRD#: 146357
LEXINGTON, KY
Past
October 10, 1997 - December 31, 2010
INVEST INC.
RIA
CRD#: 146357
LEXINGTON, KY
Past
March 1, 1995 - January 6, 1997
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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".
II
INVEST INC.
INVEST INC | JDT INVESTMENT ADVISORS | J.D.T. INC | INVEST INC.
CRD#: 146357 / SEC#: 801-122790
RIA
Registered Investment Advisory firm - (2/23/2022 Approved)Kentucky
Registered Investment Advisory firm - (3/18/2022 Terminated)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
Kentucky(1/13/2014)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
II
INVEST INC.
INVEST INC | JDT INVESTMENT ADVISORS | J.D.T. INC | INVEST INC.
CRD#: 146357 / SEC#: 801-122790
RIA
Registered Investment Advisory firm - (2/23/2022 Approved)Kentucky
Registered Investment Advisory firm - (3/18/2022 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
444 Lewis Hargett Circle, Ste 125, Lexington, KY 40503
Mailing Address
Phone number
(859) 268-9200
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 160 |
| AUM (Assets Under Management) | $ 125,471,911 |
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
INVEST INC.
CRD#: 146357Lexington, KY 40503TRUST BUT VERIFY
Monitor John Thompson
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
