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Susan O. Thompson
AVANTAX PLANNING PARTNERS
Tampa, FL 33602
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CRD#: 4781826
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Professional summary
Susan O'neal Thompson, who also goes by Susan Thomas O'neal, Susan Oneal Thompson Ms, is a registered financial advisor currently at AVANTAX PLANNING PARTNERS, INC. located in Tampa, Florida.
Susan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Susan has worked at 2 firms and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Susan Thomas O'neal | Susan Oneal Thompson Ms
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) I am a Principal and CPA with Christopher, Smith, Leonard, Bristow & Stanell, P.A., a regional CPA firm. I am located at 101 E. Kennedy Boulevard, Suite 1460, Tampa, FL 33602. I have been with the CPA firm since 05/1991. I work approximately 160 hours a month. I provide services that are typical of public accounting firms, including tax return preparation, consulting, and bookkeeping to a variety of different clients and businesses. Most of my work is during securities trading hours. My employment is not securities-related or investment-related.(2) I am a Director/Trustee a non-profit Private Foundation "The Saunders Foundation". I started this role November 2021 and the address is PO Box 10477 Tampa, FL 33679-0477. I am involved in monthly meeting attendance, review grant applications from not-for profits. The time spent on this role is approximately 1-5 hours during non-business hours and 1-5 during business hours. (3) I serve as Trustee of Trust due to a CPA relationship. I became Trustee December 2021. The trust is held in Tampa, Florida and I devote approximately 1-5 hours during business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Susan O'neal 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
September 3, 2019 - Present
AVANTAX PLANNING PARTNERS, INC.
Office #1: 101 E. Kennedy Boulevard Suite 1460, Tampa, FL 33602RIA
CRD#: 106237
Tampa, FL
Past
April 13, 2000 - November 22, 2024
PENINSULA ASSET MANAGEMENT INC
RIA
CRD#: 108600
BRADENTON, FL
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".
AP
AVANTAX PLANNING PARTNERS, INC.
AVANTAX PLANNING PARTNERS, INC. | HONKAMP KRUEGER FINANCIAL SERVICES INC | HK FINANCIAL SERVICES | AVANTAX RETIREMENT PLAN SERVICES
CRD#: 106237 / SEC#: 801-50939
RIA
Registered Investment Advisory firm - (1/17/1996 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.Highlighted states indicate IAR registrations
IAR
Florida(9/3/2019)
Current Firm
AP
AVANTAX PLANNING PARTNERS, INC.
AVANTAX PLANNING PARTNERS, INC. | HONKAMP KRUEGER FINANCIAL SERVICES INC | HK FINANCIAL SERVICES | AVANTAX RETIREMENT PLAN SERVICES
CRD#: 106237 / SEC#: 801-50939
RIA
Registered Investment Advisory firm - (1/17/1996 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3390 Asbury Road, Dubuque, IA 52002-2801
Mailing Address
Phone number
(563) 582-2855
Established
Firm type
Fiscal year end
# of Employees
254
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 13,679 |
| AUM (Assets Under Management) | $ 6,933,162,284 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/20/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
Red Flags
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