LT
Leslie D. Thompson
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CRD#: 4464109
LT
Leslie Diane Thompson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Leslie Diane Thompson was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 2002. Leslie had worked at 6 firms and has passed the Series 66, Series 63, Series 65, Series 7, Series 10 and Series 9 exams.
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.
PHOENIX PARTNERS, LLC, 600 E. 96TH STREET, SUITE 130, INDIANAPOLIS, IN 46240. NATURE OF BUSINESS: Ms. Thompson is a co-member of Phoenix Partners, LLC ("Phoenix") with Mr. Phillips. The LLC was established solely as a vehicle entity for investment purposes between the two partners of SWM. No clients are solicited or involved with Phoenix Partners, LLC. Phoenix Partners, LLC is also a client of SWM. As such, the partners, Ms. Thompson and Mr. Phillps may invest in the same securities recommended to clients of SWM. POSITION: MEMBER. START DATE: DECEMBER 2010. HOURS PER MONTH: LESS THAN 3. HOURS PER DAY DURING TRADING HOURS: LESS THAN 1. The LLC was formed solely as a vehicle for investment purposes. Beginning in January 2023, Ms. Thompson began to manage SWM under a management agreement between Slaint�, LLC, and SWM. Slaint�, LLC is a non-investment-related company. Under Slaint�, LLC, she serves as one of two leaders and officers of SWM and is responsible for the management, supervision, and oversight of SWM. Ms. Thompson and Mr. Phillips are the sole members of Slaint�, LLC. As such, Ms. Thompson will spend approximately forty or more hours per month as the leader and officer of SWM. Ms.Thompson also controls Spectrum Private Trust ("SPT"). SPT refers advisory clients to National Advisors Trust Company, FSB ("NATC"). NATC is a federally chartered trust company for the provision of trust and asset custody services. Ms. Thompson is also a shareholder of NATC stock. No member of management owns a controlling ownership of any NATC stock or sits on the board of NATC. SWM refers clients to NATC for trust and custody services and has an agreement with NATC to act as a trust representative office of NATC. This relationship imposes inherent conflicts of interest in that, Ms. Thompson, through SWM, is compensated for services provided as a trust representative office. Clients are advised that no client is ever obligated to utilize the services of NATC as trustee or custodian.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
June 4, 2025 - April 30, 2026
FOCUS PARTNERS WEALTH, LLC
RIA
CRD#: 159289
INDIANAPOLIS, IN
Past
January 3, 2023 - June 30, 2025
SPECTRUM WEALTH MANAGEMENT
RIA
CRD#: 323651
INDIANAPOLIS, IN
Past
July 29, 2021 - January 24, 2023
SBO MANAGEMENT, LLC.
RIA
CRD#: 315258
INDIANAPOLIS, IN
Past
September 1, 2011 - March 2, 2023
SPECTRUM WEALTH MANAGEMENT
RIA
CRD#: 154532
INDIANAPOLIS, IN
Past
March 8, 2005 - October 25, 2010
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
INDIANAPOLIS, IN
Past
February 28, 2005 - October 25, 2010
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
INDIANAPOLIS, IN
Past
January 15, 2002 - March 1, 2005
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
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".
FOCUS PARTNERS WEALTH, LLC
ATLAS PRIVATE WEALTH MANAGEMENT | THE COLONY GROUP, LLC | THE COLONY GROUP OF MISSOURI, LLC | THE COLONY GROUP OF FLORIDA, LLC | NEIRG WEALTH MANAGEMENT | MID-CONTINENT CAPITAL | INTEROCEAN CAPITAL GROUP | HUNT VALLEY WEALTH | HOYLECOHEN | GYL FINANCIAL SYNERGIES | GW & WADE AT THE COLONY GROUP | GW & WADE | GRATUS CAPITAL | FOCUS PARTNERS WEALTH, LLC | D. K. BREDE INVESTMENT MANAGEMENT COMPANY, A FOCUS PARTNERS WEALTH COMPANY | D. K. BREDE INVESTMENT MANAGEMENT COMPANY | CONNECTUS PRIVATE | COLONY WEALTH MANAGEMENT, A DIVISION OF THE COLONY GROUP, LLC | COLONY INVESTMENT MANAGEMENT, A DIVISION OF THE COLONY GROUP, LLC | CHURCHILL MANAGEMENT GROUP | BUCKINGHAM STRATEGIC WEALTH
CRD#: 159289 / SEC#: 801-72862
RIA
Registered Investment Advisory firm - (12/7/2011 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
FOCUS PARTNERS WEALTH, LLC
ATLAS PRIVATE WEALTH MANAGEMENT | THE COLONY GROUP, LLC | THE COLONY GROUP OF MISSOURI, LLC | THE COLONY GROUP OF FLORIDA, LLC | NEIRG WEALTH MANAGEMENT | MID-CONTINENT CAPITAL | INTEROCEAN CAPITAL GROUP | HUNT VALLEY WEALTH | HOYLECOHEN | GYL FINANCIAL SYNERGIES | GW & WADE AT THE COLONY GROUP | GW & WADE | GRATUS CAPITAL | FOCUS PARTNERS WEALTH, LLC | D. K. BREDE INVESTMENT MANAGEMENT COMPANY, A FOCUS PARTNERS WEALTH COMPANY | D. K. BREDE INVESTMENT MANAGEMENT COMPANY | CONNECTUS PRIVATE | COLONY WEALTH MANAGEMENT, A DIVISION OF THE COLONY GROUP, LLC | COLONY INVESTMENT MANAGEMENT, A DIVISION OF THE COLONY GROUP, LLC | CHURCHILL MANAGEMENT GROUP | BUCKINGHAM STRATEGIC WEALTH
CRD#: 159289 / SEC#: 801-72862
RIA
Registered Investment Advisory firm - (12/7/2011 Approved)Loading...
Contact information
Main Address
190 Carondelet Plaza Suite 600, St. Louis, MO 63105
Mailing Address
Phone number
(314) 725-0455
Established
Firm type
Fiscal year end
# of Employees
1,915
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 220,585 |
| AUM (Assets Under Management) | $ 181,862,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2026 | ||
| 12/20/2024 | ||
| 07/26/2023 |
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.
