Danny Thompson

THOMPSON FINANCIAL ADVISORS

North Chesterfield, VA

Some features on this profile are disabled

CRD#: 3063535

Professional summary

Danny Thompson is a registered financial advisor currently at THOMPSON FINANCIAL ADVISORS located in North Chesterfield, Virginia.

Danny is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Danny has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 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.

DTFinancial, Insurance business, Address: 9625 Ransom Hills Terr, N. Chesterfield Va. 23237/Nature of the business is insurance/Owner of the business/Start date: Oct 2003/I put around 20 hrs a week in to the business and devote around 10 hours during trading time. My duties consist of managing the business and selling insurance as well.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Danny Thompson'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®

None

Experience

Current

September 16, 2022 - Present

THOMPSON FINANCIAL ADVISORS

RIA

CRD#: 319243

North Chesterfield, VA

Past

December 4, 2006 - December 24, 2008

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

RICHMOND, VA

Past

April 7, 2004 - December 4, 2006

STUART SECURITIES CORP.

CRD#: 47076

NORCROSS, GA

Past

August 6, 2002 - September 25, 2002

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

January 24, 2001 - August 12, 2002

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

October 9, 2000 - December 14, 2000

STUART SECURITIES CORP.

CRD#: 47076

NORCROSS, GA

Past

October 26, 1998 - October 10, 2000

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

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

Virginia
(9/16/2022)

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: 2/15/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/21/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/13/2021

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/24/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

THOMPSON FINANCIAL ADVISORS

CRD#: 319243 / SEC#:

Virginia

Registered Investment Advisory firm - (9/16/2022 Approved)

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

N. Chesterfield, VA

Mailing Address

Po Box 2314, Chester, VA 23831

Phone number

(804) 591-6598

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Danny Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

THOMPSON FINANCIAL ADVISORS

MM ASCEND LIFE INVESTOR SERVICES, LLC

STUART SECURITIES CORP.

EDWARD JONES

CAPITAL BROKERAGE CORPORATION

STUART SECURITIES CORP.

WMA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/15/2021

Series 63

Date: 10/21/2020

SIE

Date: 4/13/2021

Series 6

Date: 10/24/1998

Current Firm

THOMPSON FINANCIAL ADVISORS

Contact information

Documents

Red Flags

Company Information

THOMPSON FINANCIAL ADVISORS

TRUST BUT VERIFY

Similar Advisors