Cheryl G. Thompson

ALLY INVEST ADVISORS

CHARLOTTE, NC 28202

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CRD#: 3179208

Professional summary

Cheryl Gunar Thompson, who also goes by Cheryl Thompson, Cheryl Gunar Thompson, is a registered financial advisor currently at ALLY INVEST ADVISORS located in Charlotte, North Carolina and ALLY INVEST SECURITIES LLC located in Charlotte, North Carolina.

Cheryl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Cheryl has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cheryl Thompson | Cheryl Gunar 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.

Association of Certified Anti-Money Laundering Specialist, LLC (ACAMS). Not investment related. 80 SW 8th St, Suite 2350, Miami, FL 33130. Volunteer and sit on the Board of Directors for the local Carolina chapter. 03/20/2020 - Present. 4hrs/month. I serve on the Board of Directors for our local ACAMS Carolinas Chapter. This is a volunteer position where I have responsibility as the treasurer of the chapter. All funds are held at the ACAMS headquarters, so I do not have direct access to those funds. I ensure that our income and expenses are tracked properly. Ally Invest Advisors. Investment related. 601 S Tryon Street Charlotte NC 28202. Senior Director - AML Compliance. Dually licensed. 06/24/2020 - Present. 0-20hrs/month. Support AIA with respect to AML related processes.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cheryl Gunar 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

June 24, 2020 - Present

ALLY INVEST ADVISORS

Office #1: 601 S. Tryon Street Suite 100, Charlotte, NC 28202

RIA

CRD#: 170301

CHARLOTTE, NC

Current

October 30, 2019 - Present

ALLY INVEST SECURITIES LLC

Office #1: 601 S. Tryon St. Suite 100, Charlotte, NC 28202

CRD#: 136131

Charlotte, NC

Past

August 21, 2017 - October 7, 2019

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CHARLOTTE, NC

Past

August 15, 2017 - October 7, 2019

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

CHARLOTTE, NC

Past

October 23, 2009 - April 29, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

INDIAN TRAIL, NC

Past

October 23, 2009 - April 29, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

August 11, 2008 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

INDIAN TRAIL, NC

Past

August 11, 2008 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

CHARLOTTE, NC

Past

April 3, 2007 - August 11, 2008

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

December 17, 2002 - April 3, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

CHARLOTTE, NC

Past

July 28, 1999 - April 3, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

CHARLOTTE, NC

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".

ALLY INVEST ADVISORS

CRD#: 170301 / SEC#: 801-79305

RIA

Registered Investment Advisory firm - (3/27/2014 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.

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

North Carolina
(10/30/2019)

IAR

North Carolina
(6/24/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/18/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/28/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/10/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/25/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ALLY INVEST ADVISORS

CRD#: 170301 / SEC#: 801-79305

RIA

Registered Investment Advisory firm - (3/27/2014 Approved)

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Contact information

Main Address

601 S. Tryon Street Suite 100, Charlotte, NC 28202

Mailing Address

Phone number

(855) 880-2559

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALLY INVEST ADVISORS FORM ADV PART 2A (8/4/2025)

Regulatory assets under management

Total Number of Accounts	76,058
AUM (Assets Under Management)	$ 1,389,572,606

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

Cheryl G. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ALLY INVEST SECURITIES LLC

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA SECURITIES LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

ALLY INVEST ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 11/18/2002

Series 63

Date: 5/28/1999

SIE

Date: 10/1/2018

Series 7

Date: 5/10/1999

Series 24

Date: 6/25/1999

FINRA

Current Firm

ALLY INVEST ADVISORS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLY INVEST ADVISORS

TRUST BUT VERIFY

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