HT
Henry L. Thompson
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Hickory, NC 28601
Some features on this profile are disabled
CRD#: 3052046
HT
Professional summary
Henry Lawrence Thompson IV, who also goes by L. T. Thompson, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Hickory, North Carolina and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Hickory, North Carolina.
Henry is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Henry has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
L. T. 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, 1155 Southgate Corp Park SW, Hickory, SC, 6/2002 for various independent insurance companies. Inv Rel - 0 hrs. 2. YMCA of Catawba Valley Soccer Club (YCVSC), 1375 Lenoir-Rhyne Blvd SE Suite 202, Hickory, NC 28602, Member of the Board of Directors, since 11/18/15, non-investment related, 10 hours monthly, no hours during trading. 3. SALT Block, 243 3rd Ave NE, Hickory, NC 28601, President of Board, since 7/1/15, non-investment related, 10 hours monthly, no hours during trading. 4. Uncle Larry Fund, 1631 Jose Gaspar Drive, Boca Grande, FL 33921, Trustee of Private Foundation, since 4/13/09, non-investment related, 10 hours yearly, no hours during trading, 5. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/MO - 20/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 6. HICKORY DAY SCHOOL, 2535 21ST AVE NE, HICKORY, NC, 7/2017 AS BOARD MEMBER. NIR - 4/MO - 0/TRADING. 7. Winder River Financial DBA Capital Concepts. 1155 Southgate Corp Park SW Hickory NC 29602. CCO of DBA. 1/1/2002. Investment related. 40hrs weekly, 40hrs during trading. 8. CAPITAL CONCEPTS PROPERTIES, 1155 SOUTHGATE CORP PARK SW, HICKORY, NC, REAL ESTATE OWNERSHIP FOR BUSINESS, GENERAL PARTNER, 10/06/20, NIR, 2/MO- 2/TRADING 9. TETON VALLEY RANCH CAMP EDUCATIONAL FOUNDATION, 290 East Broadway, Jackson WY 83001, United States, 12/01/2022, Board Member, Volunteer, NIR, 3 HR/MO - 0 HR/MO TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Henry Lawrence Thompson IV'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
February 1, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 1155 Southgate Corp Park, Hickory, NC 28601RIA
CRD#: 134139
Hickory, NC
Current
February 1, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 1155 Southgate Corp Park, Hickory, NC 28601BD
CRD#: 39543
Hickory, NC
Past
December 26, 2014 - February 8, 2016
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
HICKORY, NC
Past
June 30, 2006 - February 8, 2016
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
HICKORY, NC
Past
December 17, 2001 - June 30, 2006
CARILLON INVESTMENTS, INC.
BD
CRD#: 14646
HICKORY, NC
Past
January 29, 1999 - March 17, 2000
STOCKCROSS FINANCIAL SERVICES, INC.
BD
CRD#: 6670
BEVERLY HILLS, CA
Past
July 10, 1998 - October 28, 1998
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 10, 1998 - October 28, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
BD
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(1/3/2022)
RR
Arizona(2/1/2016)
RR
Arkansas(2/1/2016)
RR
California(2/1/2016)
RR
Colorado(2/1/2016)
RR
District of Columbia(12/1/2020)
RR
Florida(2/1/2016)
RR
Georgia(2/1/2016)
RR
Iowa(2/1/2016)
RR
Kentucky(4/5/2018)
RR
Louisiana(2/24/2017)
RR
Maine(8/2/2016)
RR
Maryland(2/1/2016)
RR
Michigan(2/1/2016)
RR
Minnesota(7/21/2017)
RR
Mississippi(2/1/2016)
RR
New Jersey(9/22/2017)
RR
New York(2/1/2016)
RR
North Carolina(2/1/2016)
IAR
North Carolina(2/1/2016)
RR
Ohio(2/1/2016)
RR
Oklahoma(8/11/2020)
RR
Pennsylvania(2/1/2016)
RR
South Carolina(2/1/2016)
RR
Tennessee(2/1/2016)
RR
Texas(2/1/2016)
IAR
Texas(2/1/2016)
RR
Utah(1/3/2023)
RR
Virginia(2/1/2016)
RR
Wisconsin(8/27/2024)
RR
Wyoming(2/1/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Hickory, NC 28601TRUST BUT VERIFY
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