Michael L. Thompson

Some features on this profile are disabled

CRD#: 2999208

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael Lindus Thompson was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 6, 2017 - December 23, 2023

COPPER LEAF FINANCIAL, LLC

RIA

CRD#: 285378

WILLISTON, VT

Past

March 12, 2015 - January 10, 2017

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

WILLISTON, VT

Past

March 10, 2015 - January 10, 2017

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

WILLISTON, VT

Past

May 9, 2011 - March 11, 2015

KEY INVESTMENT SERVICES LLC

RIA

CRD#: 136300

BURLINGTON, VT

Past

January 21, 2011 - March 11, 2015

KEY INVESTMENT SERVICES LLC

CRD#: 136300

BURLINGTON, VT

Past

January 9, 2008 - November 6, 2009

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

ST. PAUL, MN

Past

April 24, 1998 - December 7, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MINNEAPOLIS, MN

Past

February 3, 1998 - June 7, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

February 3, 1998 - June 7, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

COPPER LEAF FINANCIAL, LLC

CRD#: 285378 / SEC#: 801-120617

RIA

Registered Investment Advisory firm - (3/26/2021 Approved)

Louisiana

Registered Investment Advisory firm - (4/5/2021 Terminated)

Vermont

Registered Investment Advisory firm - (5/19/2021 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 5/7/2011

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/17/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/17/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/10/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/2/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 6/4/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/7/2002

General Securities Principal Examination

Current Firm

COPPER LEAF FINANCIAL, LLC

CRD#: 285378 / SEC#: 801-120617

RIA

Registered Investment Advisory firm - (3/26/2021 Approved)

Louisiana

Registered Investment Advisory firm - (4/5/2021 Terminated)

Vermont

Registered Investment Advisory firm - (5/19/2021 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

33 Blair Park Road Suite 203, Williston, VT 05495

Mailing Address

Phone number

(802) 878-2731

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COPPER LEAF FORM ADV PART 2A (2/13/2025)

Regulatory assets under management

Total Number of Accounts	537
AUM (Assets Under Management)	$ 189,991,396

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael L. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

KEY INVESTMENT SERVICES LLC

KEY INVESTMENT SERVICES LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

COPPER LEAF FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/7/2011

Series 65

Date: 2/17/1998

Series 63

Date: 2/17/1998

SIE

Date: 1/10/2017

Series 7

Date: 2/2/1998

Series 51

Date: 6/4/2003

Series 24

Date: 2/7/2002

Current Firm

COPPER LEAF FINANCIAL, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COPPER LEAF FINANCIAL, LLC

TRUST BUT VERIFY

Similar Advisors