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DT

Dirk J. Thompson

NISA INVESTMENT ADVISORS
St. Louis, MO 63105-4141
CRD#: 4931978
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DT
Dirk James ThompsonNISA INVESTMENT ADVISORS

Professional summary

Dirk James Thompson, who also goes by Dirk James Thompson Mr., is a registered financial advisor currently at NISA INVESTMENT ADVISORS, LLC located in St. Louis, Missouri.

Dirk is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Dirk has worked at 4 firms and has passed the Series 66, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Dirk James Thompson Mr.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dirk James Thompson's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 15, 2019 - Present

NISA INVESTMENT ADVISORS, LLC

Office #1: 7676 Forsyth Blvd Suite 1100, St. Louis, MO 63105-4141
RIA
CRD#: 107313
St. Louis, MO
Past

January 1, 2008 - May 5, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
EVANSVILLE, IN
Past

January 1, 2008 - May 5, 2010

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
EVANSVILLE, IN
Past

April 24, 2006 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
EVANSVILLE, IN
Past

April 24, 2006 - January 3, 2008

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
EVANSVILLE, IN
Past

July 4, 2005 - April 11, 2006

J.J.B. HILLIARD, W.L. LYONS, LLC

RIA
CRD#: 453
LOUISVILLE, KY
Past

April 6, 2005 - April 11, 2006

J.J.B. HILLIARD, W.L. LYONS, LLC

BD
CRD#: 453
LOUISVILLE, KY

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".
NI
NISA INVESTMENT ADVISORS, LLC
NISA INVESTMENT ADVISORS, L.L.C. | NISA INVESTMENT ADVISORS, LLC

CRD#: 107313 / SEC#: 801-45153

RIA
Registered Investment Advisory firm - (11/17/1993 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
Missouri
(7/15/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/1/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 8/13/2019
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 4/5/2005
General Securities Representative Examination

Current Firm

NI
NISA INVESTMENT ADVISORS, LLC
NISA INVESTMENT ADVISORS, L.L.C. | NISA INVESTMENT ADVISORS, LLC

CRD#: 107313 / SEC#: 801-45153

RIA
Registered Investment Advisory firm - (11/17/1993 Approved)
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Contact information

Main Address
7676 Forsyth Blvd Suite 1100, St. Louis, MO 63105-4141
Mailing Address
Phone number
(314) 721-1900
Established
Firm type
Fiscal year end
# of Employees
393

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NISA INVESTMENT ADVISORS LLC PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts428
AUM (Assets Under Management)$ 315,286,272,054

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.

Company Information

NISA INVESTMENT ADVISORS, LLC

CRD#: 107313St. Louis, MO 63105-4141

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