James D. Thompson
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.
James Dale Thompson, who also goes by James Thompson, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1998. James had worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 31, 2025 - January 15, 2026
STRATEGIC ADVISERS LLC
April 20, 2023 - March 31, 2025
FIDELITY PERSONAL AND WORKPLACE ADVISORS
February 24, 2023 - January 15, 2026
FIDELITY BROKERAGE SERVICES LLC
January 3, 2017 - April 6, 2017
CREATIVEONE SECURITIES, LLC
January 3, 2017 - April 6, 2017
CREATIVEONE SECURITIES, LLC
September 9, 2013 - November 16, 2016
WADDELL & REED
September 6, 2013 - November 16, 2016
WADDELL & REED
January 25, 2010 - May 28, 2013
TLG ADVISORS, INC.
September 7, 2006 - May 28, 2013
THE LEADERS GROUP, INC.
January 30, 2002 - August 4, 2003
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
April 5, 2000 - December 13, 2001
FBL MARKETING SERVICES, LLC
July 31, 1998 - April 3, 2000
NATIONAL PENSION & GROUP CONSULTANTS, INC
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 2/24/2023
General Securities Representative ExaminationCurrent Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
