John W. Thompson
JW THOMPSON INVESTMENTS LLC | Principal & Vice President Retirement Plans
PROVIDENCE, RI 02906
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CRD#: 4579459
Professional summary
John William Thompson IV, who also goes by Jay Thompson, John William Thompson, is a registered financial advisor currently at JW THOMPSON INVESTMENTS LLC located in Providence, Rhode Island and LPL FINANCIAL LLC located in Providence, Rhode Island.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. John has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Biography
Mr. Thompson holds the following FINRA Securities Registrations held through LPL Financial:
FINRA Series 7 - General Securities Representative
FINRA Series 63 - Uniform Securities Agent
Jay also holds the following FINRA Securities Registration held through J.W. Thompson Investments:
FINRA Series 65 - Registered Investment Advisor
Jay was voted Top 100 Retirement Plan Advisors Under Age 40 for 2019 by the National Association of Plan Advisors (NAPA) and the American Retirement Advisors (ARA) industry. (READ ARTICLE)
Jay is a graduate of Bryant University, Smithfield, Rhode Island where he attained a Bachelor of Science in Business Administration with a concentration focus in Finance.
Jay has been a frequent guest of WJAR/NBC 10 with Frank Colletta proving investment commentary and retirement planning advice of their "Sun Rise Business Show" and "Money Watchers" program. Outside of Finance, Jay enjoys spending time with his wife Lauren and their two son's Jack and Ryan. He is an active community member in Warren Rhode Island and has proudly served as President of Warren Little League baseball from 2017 to 2021.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jay Thompson | John William Thompson
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) 07/11/2013: J.W. Thompson Investments - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - 100% Time Spent
(2) 08/30/2016: J.W. Thompson Investments - Registered Investment Advisor Hybrid - DBA: (HYBRID) J.W. Thompson Investments - Investment Related - At Reported Business Location(s) - 90% Time Spent - I provide investment advisory services through J W Thompson Investments LLC, an independent investment advisor firm. I started this business activity in August 2002. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm�s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view John William Thompson IV'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®
NoneExperience
Current
June 14, 2005 - Present
JW THOMPSON INVESTMENTS LLC
Office #1: 245 Waterman Street Suite 301, Providence, RI 02906RIA
CRD#: 129281
PROVIDENCE, RI
Current
July 23, 2013 - Present
LPL FINANCIAL LLC
Office #1: 245 Waterman Street, Suite 301, Providence, RI 02906RIA
BD
CRD#: 6413
Providence, RI
Past
January 28, 2004 - August 2, 2013
CANTELLA & CO., INC.
RIA
CRD#: 13905
PROVIDENCE, RI
Past
November 15, 2002 - August 2, 2013
CANTELLA & CO., INC.
BD
CRD#: 13905
PROVIDENCE, RI
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
Massachusetts(1/2/2013)
RR
Massachusetts(10/1/2013)
IAR
New York(3/29/2023)
IAR
Rhode Island(6/14/2005)
RR
Rhode Island(7/23/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JT
JW THOMPSON INVESTMENTS LLC
JW THOMPSON INVESTMENTS LLC
CRD#: 129281 / SEC#:
Florida
Registered Investment Advisory firm - (5/26/2015 Approved)Massachusetts
Registered Investment Advisory firm - (1/2/2013 Approved)New York
Registered Investment Advisory firm - (3/19/2015 Approved)Rhode Island
Registered Investment Advisory firm - (3/10/2000 Approved)Texas
Registered Investment Advisory firm - (12/3/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Singer Island, FL
Mailing Address
Phone number
(561) 406-9998
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 130 |
| AUM (Assets Under Management) | $ 24,188,052 |
Red Flags
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Company Information
JW THOMPSON INVESTMENTS LLC
Principal & Vice President Retirement PlansCRD#: 129281Providence, RI 02906TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
