Daniel C. Thompson

ZENITH WEALTH ADVISORS

Scottsdale, AZ 85251

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CRD#: 2656870

Professional summary

Daniel Christopher Thompson, CFP® is a registered financial advisor currently at ZENITH WEALTH ADVISORS located in Scottsdale, Arizona.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Daniel has worked at 6 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 8 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.

OFFICER OF BANK.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Christopher 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®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Current

March 3, 2022 - Present

ZENITH WEALTH ADVISORS

Office #1: 4900 N. Scottsdale Road Ste 1500, Scottsdale, AZ 85251

RIA

CRD#: 318330

Scottsdale, AZ

Past

October 7, 2010 - December 2, 2011

FIRST WESTERN INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 128013

SCOTTSDALE, AZ

Past

March 27, 2009 - July 2, 2010

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

SCOTTSDALE, AZ

Past

June 19, 2006 - March 13, 2009

OMNIVEST, INC.

CRD#: 13396

DENVER, CO

Past

October 8, 1998 - July 20, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

DENVER, CO

Past

October 7, 1998 - July 20, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

November 9, 1995 - September 16, 1998

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

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".

ZENITH WEALTH ADVISORS

VB&T ORGANIZATIONAL LLC | ZENITH WEALTH ADVISORS | VB&T WEALTH MANAGEMENT LLC

CRD#: 318330 / SEC#: 801-123228

RIA

Registered Investment Advisory firm - (2/15/2022 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

Arizona
(3/3/2022)

IAR

Texas
(3/5/2023)

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 65

Date: 4/9/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/6/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 2/4/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/27/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 2/18/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

ZENITH WEALTH ADVISORS

VB&T ORGANIZATIONAL LLC | ZENITH WEALTH ADVISORS | VB&T WEALTH MANAGEMENT LLC

CRD#: 318330 / SEC#: 801-123228

RIA

Registered Investment Advisory firm - (2/15/2022 Approved)

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Contact information

Main Address

4900 N. Scottsdale Road Ste 1500, Scottsdale, AZ 85251

Mailing Address

Phone number

(480) 999-9900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE - FORM ADV 2A - VB&T WEALTH MANAGEMENT LLC (3/3/2025)

Regulatory assets under management

Total Number of Accounts	276
AUM (Assets Under Management)	$ 303,049,547

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/29/2025	Cover Page	Report
05/06/2024	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 C. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

FIRST WESTERN INVESTMENT MANAGEMENT, INC.

KESTRA INVESTMENT SERVICES, LLC

OMNIVEST, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

ZENITH WEALTH ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 4/9/1999

Series 63

Date: 11/6/1995

Series 31

Date: 2/4/2003

Series 7

Date: 10/27/1995

Series 8

Date: 2/18/1998

Current Firm

ZENITH WEALTH ADVISORS

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ZENITH WEALTH ADVISORS

TRUST BUT VERIFY

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