Alan W. Thompson
Professional summary
Alan Wesley Thompson is a registered financial advisor currently at DOMINION WEALTH MANAGEMENT, LLC located in Whiteville, North Carolina.
Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Alan has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Alan Wesley Thompson's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 2, 2021 - Present
DOMINION WEALTH MANAGEMENT, LLC
Office #1: 1626 South Madison St., Whiteville, NC 28472October 25, 2019 - July 16, 2021
AVANTAX ADVISORY SERVICES
October 25, 2019 - July 9, 2021
AVANTAX INVESTMENT SERVICES, INC.
August 31, 2016 - October 25, 2019
1ST GLOBAL ADVISORS INC
August 31, 2016 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
March 21, 2007 - October 3, 2016
CSSC BROKERAGE SERVICES, INC.
August 31, 2001 - March 21, 2007
MUTUAL SERVICE CORPORATION
December 31, 2000 - October 3, 2016
TRUSTEE EMPOWERMENT & PROTECTION, INC.
October 15, 1999 - August 31, 2001
FSC SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/2/2021)
Exams
Current Firm
DOMINION WEALTH MANAGEMENT, LLC
CRD#: 315417 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 235 |
| AUM (Assets Under Management) | $ 59,973,738 |
Red Flags
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