Nathan W. Thompson

4TH RIVER FINANCIAL GROUP

WEXFORD, PA 15090

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CRD#: 4361520

Professional summary

Nathan William Thompson is a registered financial advisor currently at 4TH RIVER FINANCIAL GROUP, INC. located in Wexford, Pennsylvania.

Nathan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Nathan has worked at 2 firms and has passed the Series 65, Series 63, Series 6 and Series 26 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.

Nathan Thompson is an Independent Insurance Agent with Financial Independence Group located in Cornelius NC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nathan William 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

March 16, 2009 - Present

4TH RIVER FINANCIAL GROUP, INC.

Office #1: 7500 Brooktree Rd Suite 100, Wexford, PA 15090

RIA

CRD#: 149058

WEXFORD, PA

Past

April 24, 2001 - February 3, 2009

PFS INVESTMENTS INC.

CRD#: 10111

COLUMBUS, OH

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

Ohio
(5/4/2009)

IAR

Pennsylvania
(3/16/2009)

IAR

Texas
(8/31/2013)

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: 1/13/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/26/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 4/23/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 5/9/2008

Investment Company Products/Variable Contracts Principal Examination

Current Firm

4TH RIVER FINANCIAL GROUP, INC.

4TH RIVER FINANCIAL GROUP, INC. | NEW HORIZONS FINANCIAL SERVICES | NAME 612 | LANEY FINANCIAL GROUP

CRD#: 149058 / SEC#:

California

Registered Investment Advisory firm - (4/11/2019 Terminated)

Idaho

Registered Investment Advisory firm - (1/16/2025 Approved)

New Jersey

Registered Investment Advisory firm - (9/26/2012 Terminated)

North Carolina

Registered Investment Advisory firm - (6/26/2009 Approved)

Ohio

Registered Investment Advisory firm - (5/1/2009 Approved)

Pennsylvania

Registered Investment Advisory firm - (2/27/2009 Approved)

South Dakota

Registered Investment Advisory firm - (12/10/2019 Terminated)

Texas

Registered Investment Advisory firm - (8/31/2013 Conditional Restricted)

West Virginia

Registered Investment Advisory firm - (10/6/2011 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

7500 Brooktree Rd Suite 100, Wexford, PA 15090

Mailing Address

Phone number

(888) 261-8853

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	755
AUM (Assets Under Management)	$ 54,041,816

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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Nathan W. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

4TH RIVER FINANCIAL GROUP, INC.

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/13/2009

Series 63

Date: 9/26/2002

Series 6

Date: 4/23/2001

Series 26

Date: 5/9/2008

Current Firm

4TH RIVER FINANCIAL GROUP, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

4TH RIVER FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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