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Edward H. Thompson

THOMPSON DAVIS & CO.
Richmond, VA 23235
Some features on this profile are disabled
CRD#: 445674
ET

Professional summary

Edward Hunter Thompson JR is a registered financial advisor currently at THOMPSON DAVIS & CO., INC. located in Richmond, Virginia.

Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1973. Edward has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, Series 99TO, SIE, Series 41, PC, Series 16, Series 1 and Series 24 exams.

top-8-questions

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.
LIMITED PARTNER IN SEVEN HILLS CAPITAL PARTNERS LP, A PARTNERSHIP FORMED FOR INVESTMENT PURPOSES LOCATED AT 9030 STONY POINT PARKWAY, SUITE 100, RICHMOND, VA 23235. START DATE OF 01/2010. THE REGISTRANT HAS NO DUTIES IN THE PARTNERSHIP; HOWEVER, THE REGISTRANT IS EMPLOYED BY THOMPSON DAVIS ASSET MANAGEMENT, WHICH ACTS AS THE INVESTMENT ADVISER TO THE PARTNERSHIP.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Edward Hunter Thompson JR's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Edward Hunter Thompson JR'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

February 9, 2007 - Present

THOMPSON DAVIS & CO., INC.

Office #1: 9030 Stony Point Pkwy, Ste 100, Richmond, VA 23235
RIA
BD
CRD#: 41353
Richmond, VA
Current

July 11, 2002 - Present

THOMPSON DAVIS & CO., INC.

Office #1: 9030 Stony Point Pkwy, Ste 100, Richmond, VA 23235
RIA
BD
CRD#: 41353
Richmond, VA
Past

March 9, 2002 - July 11, 2002

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

March 28, 2001 - March 9, 2002

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
BOSTON, MA
Past

March 4, 1975 - March 28, 2001

BRANCH, CABELL & CO., INC.

BD
CRD#: 6820
RICHMOND, VA
Past

January 10, 1973 - March 4, 1975

BRANCH CABELL & CO

BD
CRD#: 1000002

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".
TD
THOMPSON DAVIS & CO., INC.
BLOOMBERG SECURITIES, INC. | ZERMATT WEALTH PARTNERS | THOMPSON DAVIS PRIVATE WEALTH MANAGEMENT | THOMPSON DAVIS ASSET MANAGEMENT | THOMPSON DAVIS & CO., INC. | NET SECURITIES CORP.

CRD#: 41353 / SEC#: 801-120472, 8-49386

RIA
Registered Investment Advisory firm - SEC (3/5/2021 Approved)
Florida
Registered Investment Advisory firm - SEC (6/17/2021 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (6/17/2021 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (6/21/2021 Terminated)
Texas
Registered Investment Advisory firm - SEC (6/17/2021 Terminated)
Virginia
Registered Investment Advisory firm - SEC (6/17/2021 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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.
RR
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

IAR
Florida
(6/8/2007)
RR
Florida
(11/17/2017)
RR
Georgia
(2/15/2024)
RR
New Jersey
(2/13/2024)
RR
Ohio
(2/13/2024)
RR
Tennessee
(8/21/2024)
RR
Texas
(5/8/2003)
IAR
Texas
(6/11/2007)
RR
Virginia
(7/12/2002)
IAR
Virginia
(2/9/2007)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/28/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/18/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 41
Date: 7/18/1981
NYSE Allied Member Examination
General Industry/Product Exam
RR
PC
Date: 9/6/1977
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 16
Date: 9/2/1975
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
Series 1
Date: 4/24/1968
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/20/1981
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TD
THOMPSON DAVIS & CO., INC.
BLOOMBERG SECURITIES, INC. | ZERMATT WEALTH PARTNERS | THOMPSON DAVIS PRIVATE WEALTH MANAGEMENT | THOMPSON DAVIS ASSET MANAGEMENT | THOMPSON DAVIS & CO., INC. | NET SECURITIES CORP.

CRD#: 41353 / SEC#: 801-120472, 8-49386

RIA
Registered Investment Advisory firm - SEC (3/5/2021 Approved)
Florida
Registered Investment Advisory firm - SEC (6/17/2021 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (6/17/2021 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (6/21/2021 Terminated)
Texas
Registered Investment Advisory firm - SEC (6/17/2021 Terminated)
Virginia
Registered Investment Advisory firm - SEC (6/17/2021 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
9030 Stony Point Pkwy, Ste 100, Richmond, VA 23235
Mailing Address
9030 Stony Point Pkwy, Ste 100, Richmond, VA 23235
Phone number
(804) 644-6380
Established
New York since 08/24/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
9

SEC notice filing (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (33 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

THOMPSON DAVIS ASSET MANAGEMENT - SEVEN HILLS (3/28/2025)
THOMPSON DAVIS ASSET MANAGEMENT - SMA (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
DAVIS, WILLIAM DALE JRCEO2056775
THALHIMER, ADAM ROBERTDIRECTOR OF RESEARCH4472072
THOMPSON, EDWARD HUNTER JRCHAIRMAN445674
ALTIZER, JUNE ELAINECFO/FINOP/PFO/POO2114981
DANIEL, MATTHEW HENRYSR. VICE PRESIDENT4258203
WALZ, PEGGY MYERSCCO2996925
JONES, BRANT CHRISTOPHERINVESTMENT ADVISOR5945363

Regulatory assets under management

Total Number of Accounts300
AUM (Assets Under Management)$ 206,863,938

Disclosures

Regulatory Event2

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.

Company Information

THOMPSON DAVIS & CO., INC.

CRD#: 41353Richmond, VA 23235

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