Randall M. Thompson

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CRD#: 4627139

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.

Randall Markham Thompson, who also goes by Randy M Thompson, was a registered financial professional .

Randall is a previously registered financial professional and started their career in finance in 2003. Randall had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Randy M 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) RANDALL M. THOMPSON ADDRESS: SAME AS BRANCH OFFICE CATEGORY: INSURANCE INVESTMENT-RELATED: YES TITLE: AGENT DUTIES: OFFERING TRADITIONAL LIFE, HEALTH, ACCIDENT, AND DISABILITY INSURANCE, AND PREMIUM FINANCING. START DATE: 3/1/09 HOURS PER MONTH: 10 HOURS PER MONTH DURING TRADING HOURS: 10 2) BETTER CONTINGENT DECISIONS, 6238 Cindy Lane Houston TX 77008. CATEGORY: OTHER (SOFTWARE DEVELOPMENT/SALES) INVESTMENT-RELATED: NO TITLE: PRESIDENT/OWNER DUTIES: MARKET ANALYTICAL SOFTWARE TO ATTORNEYS WHO DO LITIGATION WORK ON A CONTINGENT BASIS. START DATE: 07/01/09 HOURS PER MONTH: 10 HOURS PER MONTH DURING TRADING HOURS: 10 3) RETNA RESEARCH FOUNDATION 1977 BUTLER BLVD. HOUSTON TEXAS 77030 CATEGORY FOUNDATION START DATE 2004 HOURS PER WEEK: 0 HOURS PER MONTH DURING TRADING HOURS:0 4) ASPEN TRAPPEURS CROSSING 6238 Cindy Lane Houston TX 77008. CATEGORY: PROPERTY MANAGEMENT HOURS PER WEEK: 1 HOURS PER MONTH DURING TRADING HOURS: 1 5) A) HAITI BUSINESS DEVELOPMENT B) NON-INVESTMENT RELATED C) 6238 Cindy Lane Houston TX 77008. D) CONSULTING ON VARIOUS BUSINESS START UPS IN HAITI E) CONSULTANT F) 2014 G) 10 HRS/MO I) HELPING START UP BUSINESS IN HAITI WITH BUSINESS PLANS J) NON-OFFICER/DIRECTOR K) NO CLIENTS INVOLVED 6) DBA - Copper Mountain Capital; investment related; 2010 West Loop North Suite 110 Houston Texas 77018; president - start date 4/29/2021; entity for advisory business; 160 hours per month, 143 hours during trading. 7) RNC CAPITAL; S CORP ESTABLISHED FOR DBA COPPER MOUNTAIN CAPITAL; PARTNER; ADDRESS: SAME AS BRANCH; 0 HOURS PER MONTH

Blog Corner

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®

None

Experience

Past

October 3, 2014 - September 7, 2022

J. W. COLE ADVISORS, INC.

RIA

CRD#: 112294

Houston, TX

Past

October 3, 2014 - September 7, 2022

J.W. COLE FINANCIAL, INC.

CRD#: 124583

Houston, TX

Past

February 17, 2003 - October 14, 2014

OSAIC FA, INC.

RIA

CRD#: 3978

HOUSTON, TX

Past

February 13, 2003 - May 5, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

February 13, 2003 - October 14, 2014

OSAIC FA, INC.

CRD#: 3978

HOUSTON, TX

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".

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 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).

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.

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: 2/14/2003

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: 2/11/2003

General Securities Representative Examination

Current Firm

J. W. COLE ADVISORS, INC.

CRD#: 112294 / SEC#: 801-60722

RIA

Registered Investment Advisory firm - (11/23/2001 Approved)

Arizona

Registered Investment Advisory firm - (12/4/2001 Terminated)

Florida

Registered Investment Advisory firm - (12/5/2001 Terminated)

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Contact information

Main Address

4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634

Mailing Address

Phone number

(813) 935-6776

Established

Firm type

Fiscal year end

# of Employees

512

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE PROGRAM (3/28/2025)

JWCA 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	29,614
AUM (Assets Under Management)	$ 7,195,237,282

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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Firm Stability Insights

Randall M. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

J. W. COLE ADVISORS, INC.

J.W. COLE FINANCIAL, INC.

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

Primary Firm SEC Registration

J. W. COLE ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/14/2003

SIE

Date: 10/1/2018

Series 7

Date: 2/11/2003

Current Firm

J. W. COLE ADVISORS, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

J. W. COLE ADVISORS, INC.

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