Brian M. Thompson

ROCKWAY WEALTH PARTNERS

Urbandale, IA 50323

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CRD#: 5068217

Professional summary

Brian Matthew Thompson is a registered financial advisor currently at ROCKWAY WEALTH PARTNERS located in Urbandale, Iowa.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Brian has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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. 01/19/2016 - RockWay Wealth Partners - for tax purposes only- 1601 West Lakes Parkway; Suite 200; West Des Moines, IA 50266 - 0 hours per week 2. 4/25/2017 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 04/06/2017 - 5 Hours Per Month/4 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Matthew 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®

None

Experience

Current

June 29, 2021 - Present

ROCKWAY WEALTH PARTNERS

Office #1: 15214 Ridgemont Drive, Urbandale, IA 50323

RIA

CRD#: 315419

Urbandale, IA

Past

February 22, 2020 - August 4, 2021

WEALTH ADVISORS OF IOWA, LLC

RIA

CRD#: 115088

WEST DES MOINES, IA

Past

June 28, 2018 - March 31, 2020

ROCKWAY WEALTH PARTNERS

RIA

CRD#: 297724

URBANDALE, IA

Past

November 9, 2015 - July 25, 2018

BALEFIRE, LLC

RIA

CRD#: 168733

DALLAS, TX

Past

October 28, 2011 - February 2, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

WEST DES MOINES, IA

Past

July 7, 2006 - July 25, 2018

LPL FINANCIAL LLC

CRD#: 6413

WEST DES MOINES, IA

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

Iowa
(6/29/2021)

IAR

Missouri
(11/15/2021)

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 65

Date: 10/26/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/19/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/25/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/9/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/6/2006

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ROCKWAY WEALTH PARTNERS

CRD#: 315419 / SEC#:

Iowa

Registered Investment Advisory firm - (6/29/2021 Approved)

Missouri

Registered Investment Advisory firm - (11/10/2021 Approved)

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Contact information

Main Address

15214 Ridgemont Drive, Urbandale, IA 50323

Mailing Address

Phone number

(515) 414-7373

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	90
AUM (Assets Under Management)	$ 25,127,300

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

Brian M. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Matthew Thompson's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEALTH ADVISORS OF IOWA, LLC

ROCKWAY WEALTH PARTNERS

BALEFIRE, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/26/2011

Series 63

Date: 2/19/2008

SIE

Date: 7/25/2018

Series 7

Date: 10/9/2015

Series 6

Date: 7/6/2006

Current Firm

ROCKWAY WEALTH PARTNERS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ROCKWAY WEALTH PARTNERS

TRUST BUT VERIFY

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