Thomas J. Thompson

THOMPSON FINANCIAL TRANSITIONS

White Bear Lake, MN 55110

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CRD#: 2687240

Professional summary

Thomas Joseph Thompson III, ChFC®, CLU®, who also goes by Thomas Joseph III Thompson, Thomas Thompson, Trey Thompson, is a registered financial advisor currently at THOMPSON FINANCIAL TRANSITIONS INC. located in White Bear Lake, Minnesota.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Thomas has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas Joseph Iii Thompson | Thomas Thompson | Trey 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)INDEPENDENT INSURANCE AGENT POSITION: INDEPENDENT AGENT NATURE: I SELL INSURANCE AS AN INDEPENDENT AGENT INVESTMENT RELATED: YES NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 10/01/2008 ADDRESS: 2736 COUNTY RD D E, WHITE BEAR LAKE MN 55110 DESCRIPTION: I SELL LIFE INSURANCE, LONG TERM CARE AND ANNUITIES WHERE THEY ARE NEEDED FOR CLIENTS. 2)THOMPSON FINANCIAL TRANSITIONS INC POSITION: President NATURE: This is an update of my address to 1895 County Rd E East, Ste 214, White Bear Lake MN 55110 INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 05/24/2001; ADDRESS: 1895 County Rd E East, Ste 214, White Bear Lake MN 55110 DESCRIPTION: I life insurance and PC under this DBA- Thompson Financial Transitions 3)POA FOR JANET K THOMPSON-MOTHER POSITION: POA with my sister NATURE: I am POA for my mother who has [REDACTED]. I manage her investments, prepare her taxes and pay all her bills INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 02/07/2021 ADDRESS: 1895 County Rd E E, ste 214, White Bear Lake MN 55110, United States DESCRIPTION: I manager her assets as her financial advisor and POA. I pay bills outside of working hours. It was also a fair amount of work to transition my deceased fathers accounts and bills into my mothers name. I am only compensated for the assets I manage for my mother. I am not compensated for paying bills or changing accounts into her name. 4)KRISTI SEIFERT CPA POSITION: tax preparer NATURE: I would help do tax returns for the CPA next door. I would receive a pay check. I would not own any of her business INVESTMENT RELATED: No NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 20 START DATE: 01/11/2022 ADDRESS: 1895 County Rd E E, Ste 202, White Bear Lake MN 55110-4218, United States DESCRIPTION: I would help with overflow when preparing individual tax returns. I would block off about 3 hours a day. I would not be full time and I would be able to still meet with my clients. Jan, Feb and March are slower months for me as an advisor. This would also help with me understanding her business if I would decided to buy in at a later date. This is just a beta test to see if it is a fit for both of us. I will only do this during the months of Jan, Feb, March and some April.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Thompson III'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®

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

December 13, 2022 - Present

THOMPSON FINANCIAL TRANSITIONS INC.

Office #1: 1895 County Rd E E Suite 214, White Bear Lake, MN 55110

RIA

CRD#: 8209

NEW YORK, NY

Past

December 11, 1995 - January 1, 1996

FUNDMARK INVESTMENT COMPANY SERVICES, INC.

CRD#: 13066

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

Minnesota
(12/13/2022)

IAR

Oklahoma
(12/13/2022)

Investment Company Products/Variable Contracts Representative Examination

Current Firm

THOMPSON FINANCIAL TRANSITIONS INC.

CRD#: 322562 / SEC#:

Minnesota

Registered Investment Advisory firm - (12/13/2022 Approved)

Oklahoma

Registered Investment Advisory firm - (12/13/2022 Approved)

Wisconsin

Registered Investment Advisory firm - (2/24/2022 Approved)

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Contact information

Main Address

1895 County Rd E E Suite 214, White Bear Lake, MN 55110

Mailing Address

Phone number

(651) 328-6386

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	284
AUM (Assets Under Management)	$ 44,044,000

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas J. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Joseph Thompson III's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

CRI SECURITIES, LLC

THE LEADERS GROUP, INC.

SLD AMERICA EQUITIES, INC.

TCF INVESTMENTS, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

FEDERATED SECURITIES CORP.

INVESCO CAPITAL MARKETS, INC.

MORGAN STANLEY & CO. LLC

FUNDMARK INVESTMENT COMPANY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/28/2008

Series 63

Date: 10/17/1997

SIE

Date: 10/1/2018

Series 7

Date: 7/2/1997

Series 6

Date: 12/8/1995

Current Firm

THOMPSON FINANCIAL TRANSITIONS INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THOMPSON FINANCIAL TRANSITIONS INC.

TRUST BUT VERIFY

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