David W. Thompson

HERITAGE ASSET MANAGEMENT

Belton, MO 64012

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CRD#: 4440375

Professional summary

David Wayne Thompson is a registered financial advisor currently at HERITAGE ASSET MANAGEMENT, LLC located in Belton, Missouri.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. David has worked at 3 firms and has passed the Series 66, SIE and Series 7 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.

(1) NAME OF OTHER BUSINESS: HERITAGE FINANCIAL SERVICES LLC INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: SELLING FIXED INSURANCE, START DATE: 3/2009, APX NUMBER OF HOURS PER MONTH; 10 APX NUMBER OF TRADING HOURS PER MONTH: 10 POSITION/TITLE/RELATIONSHIP: AGENT, BRIEF DESCRIPTION OF DUTIES: SELLING LIFE, HEALTH, DISABILITY, ANNUITIES, & LONG TERM CARE; (2) NAME OF OTHER BUSINESS: THOMPSON ASSET MANAGEMENT, LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: S CORPORATION; START DATE: 09/2015; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: S CORPORATON FOR TAX PURPOSES ONLY;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Wayne 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

October 18, 2022 - Present

HERITAGE ASSET MANAGEMENT, LLC

Office #1: 7926 E 171st Street, Belton, MO 64012

RIA

CRD#: 323344

Belton, MO

Past

April 20, 2009 - October 20, 2022

CETERA ADVISORS LLC

RIA

CRD#: 10299

BELTON, MO

Past

April 17, 2009 - October 20, 2022

CETERA ADVISORS LLC

CRD#: 10299

BELTON, MO

Past

February 20, 2002 - April 23, 2009

NEW ENGLAND SECURITIES

RIA

CRD#: 615

OVERLAND PARK, KS

Past

September 26, 2001 - April 23, 2009

NEW ENGLAND SECURITIES

CRD#: 615

OVERLAND PARK, KS

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".

HERITAGE ASSET MANAGEMENT, LLC

CRD#: 323344 / SEC#: 801-126700

RIA

Registered Investment Advisory firm - (10/7/2022 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.

Highlighted states indicate IAR registrations

IAR

Missouri
(10/18/2022)

IAR

Texas
(10/18/2022)

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 66

Date: 10/29/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/25/2001

General Securities Representative Examination

Current Firm

HERITAGE ASSET MANAGEMENT, LLC

CRD#: 323344 / SEC#: 801-126700

RIA

Registered Investment Advisory firm - (10/7/2022 Approved)

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Contact information

Main Address

7926 E 171st Street, Belton, MO 64012

Mailing Address

Phone number

(816) 348-2060

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SEC FORM ADV PART 2A & 2B (1/31/2025)

Regulatory assets under management

Total Number of Accounts	705
AUM (Assets Under Management)	$ 130,000,000

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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David W. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CETERA ADVISORS LLC

CETERA ADVISORS LLC

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

HERITAGE ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/29/2001

SIE

Date: 10/1/2018

Series 7

Date: 9/25/2001

Current Firm

HERITAGE ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HERITAGE ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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