Mark S. Thompson

LAUREL WEALTH ADVISORS

Charlotte, NC 28204

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CRD#: 2928571

Professional summary

Mark Stephen Thompson is a registered financial advisor currently at LAUREL WEALTH ADVISORS, LLC located in Charlotte, North Carolina.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Mark has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 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.

Mark Thompson is a passive Investor with Laurel Avenue T-1 Investors, LLC which is a Software and Hardware development company. No time is spent on this activity during or outside of trading hours. He received no yearly compensation. Mark Thompson is a passive investor for Daisy Dog, LLC which is a passive investment of CXL Ophthalmics, LLC which develops treatments for eye disease. No time is spent per month on this activity during and outside of trading hours. He receives no yearly compensation for this activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Stephen 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

February 15, 2008 - Present

LAUREL WEALTH ADVISORS, LLC

Office #1: 1355 Greenwood Cliff Ste. 301, Charlotte, NC 28204

RIA

CRD#: 118469

Charlotte, NC

Past

October 4, 2004 - February 27, 2008

BUCKHORN CAPITAL MANAGEMENT LLC

RIA

CRD#: 108457

CHARLOTTE, NC

Past

January 2, 2001 - September 1, 2005

QUEENS ROAD SECURITIES, LLC

CRD#: 104277

CHARLOTTE, NC

Past

July 19, 2000 - December 4, 2000

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

July 29, 1997 - November 8, 1999

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

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".

LAUREL WEALTH ADVISORS, LLC

LAUREL WEALTH ADVISORS, LLC | MILLER MCNEISH BREEDLOVE & HEARN FINANCIAL SERVIVES, LLC | MILLER MCNEISH BREEDLOVE & HEARN FINANCIAL SERVICES, LLC

CRD#: 118469 / SEC#: 801-69151

RIA

Registered Investment Advisory firm - (5/21/2008 Approved)

North Carolina

Registered Investment Advisory firm - (6/17/2008 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Louisiana
(3/29/2016)

IAR

North Carolina
(2/15/2008)

IAR

Texas
(10/13/2008)

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: 10/12/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/19/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/7/1997

General Securities Representative Examination

Current Firm

LAUREL WEALTH ADVISORS, LLC

LAUREL WEALTH ADVISORS, LLC | MILLER MCNEISH BREEDLOVE & HEARN FINANCIAL SERVIVES, LLC | MILLER MCNEISH BREEDLOVE & HEARN FINANCIAL SERVICES, LLC

CRD#: 118469 / SEC#: 801-69151

RIA

Registered Investment Advisory firm - (5/21/2008 Approved)

North Carolina

Registered Investment Advisory firm - (6/17/2008 Terminated)

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Contact information

Main Address

1355 Greenwood Cliff Ste. 301, Charlotte, NC 28204

Mailing Address

Phone number

(704) 927-4379

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

LAUREL WEALTH ADVISORS' PART 2A (7/15/2025)

Regulatory assets under management

Total Number of Accounts	1,394
AUM (Assets Under Management)	$ 972,660,502

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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Advisor Monitoring

Firm Stability Insights

Mark S. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Stephen Thompson's CRS (Customer Relationship Summary).

Certified licenses

Experience

BUCKHORN CAPITAL MANAGEMENT LLC

QUEENS ROAD SECURITIES, LLC

SUNAMERICA SECURITIES, INC.

BANC OF AMERICA SECURITIES LLC

Primary Firm SEC Registration

LAUREL WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/12/2000

Series 63

Date: 1/19/1998

Series 7

Date: 10/7/1997

Current Firm

LAUREL WEALTH ADVISORS, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LAUREL WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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