WT
William J. Thompson
KESTRA ADVISORY SERVICES
Alpharetta, GA 30009
Some features on this profile are disabled
CRD#: 4753071
WT
Professional summary
William J. Thompson, who also goes by W. Jeremiah Thompson, William Jeremiah Thompson Jr., William Jerry Thompson Jr, William Jerry Thompson, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Alpharetta, Georgia and KESTRA INVESTMENT SERVICES, LLC located in Alpharetta, Georgia.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. William has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
W. Jeremiah Thompson | William Jeremiah Thompson Jr. | William Jerry Thompson Jr | William Jerry 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.
Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services Business Name: 903 Advisors, LLC Investment Related: Yes Address: 11680 Great Oaks Way, Suite 175 Alpharetta GA 30022 Nature of Business: Other Other/None of the Above Flow through of fees & salary. Position, Title or Relationship: Owner Start Date: 8/28/2012 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Flow through of fees & salary. Business Name: oXYGen Financial Insurance Investment Related: Yes Address: 11680 Great Oaks Way, Suite 175 Alpharetta GA 30022 Nature of Business: Insurance Position, Title or Relationship: Independent Contractor Start Date: 1/16/2012 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 31% - 40% (43 - 56 hours) Duties: I recommend and help implement insurance products for financial planning clients. Business Name: oXYGen Financial Investment Related: Yes Address: 11680 Great Oaks Way, Suite 175 Alpharetta GA 30022 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Vice President & Private CFO Start Date: 1/16/2012 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Financial planning for clients and investment advisory services through Kestra Advisory Services, LLC. Business Name: oXYGen Financial Tax and Business Investment Related: No Address: 11680 Great Oaks Way, Suite 175 Alpharetta GA 30041 Nature of Business: Other Other/None of the Above Sales of a financial dashboard service Position, Title or Relationship: Private CFO Start Date: 1/16/2012 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: Sales and ongoing administration of a financial dashboard service Business Name: ESL ADVISERS POSITION: Consultant NATURE: Consulting INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/27/2023 ADDRESS: 35 Old Canton St, Alpharetta GA 30009, United States DESCRIPTION: If ESL helps sell a business that I refer to them, I will get compensated.E
CRS (Client Relationship Summary) - RIA
Click below to view William J. Thompson'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
April 27, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 35 Old Canton Street, Alpharetta, GA 30009RIA
CRD#: 283330
Alpharetta, GA
Current
September 10, 2015 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 35 Old Canton Street, Alpharetta, GA 30009BD
CRD#: 42046
ALPHARETTA, GA
Past
September 18, 2015 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
Atlanta, GA
Past
January 19, 2012 - September 8, 2015
INVESTACORP ADVISORY SERVICES INC
RIA
CRD#: 109011
ALPHARETTA, GA
Past
January 13, 2012 - September 8, 2015
INVESTACORP, INC.
BD
CRD#: 7684
ALPHARETTA, GA
Past
April 28, 2004 - January 25, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
ALPHARETTA, GA
Past
April 9, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 9, 2004 - January 25, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
ALPHARETTA, GA
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 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.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
RR
Alabama(8/23/2024)
RR
Arizona(1/28/2020)
RR
Arkansas(10/22/2015)
RR
California(2/13/2020)
RR
Colorado(4/16/2021)
RR
Delaware(7/2/2020)
RR
District of Columbia(9/10/2015)
RR
Florida(11/18/2015)
RR
Georgia(9/10/2015)
IAR
Georgia(4/27/2016)
RR
Illinois(8/11/2016)
RR
Indiana(4/23/2020)
RR
Maryland(5/16/2019)
RR
Massachusetts(6/8/2020)
RR
Minnesota(8/30/2016)
RR
Mississippi(10/24/2025)
RR
Missouri(11/14/2016)
RR
New Jersey(9/24/2015)
RR
New York(9/10/2015)
RR
North Carolina(9/10/2015)
RR
Ohio(10/21/2015)
RR
Pennsylvania(9/10/2015)
RR
South Carolina(10/23/2018)
RR
Tennessee(4/21/2020)
RR
Texas(10/22/2015)
IAR
Texas(7/27/2023)
RR
Virginia(9/10/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
