Paul A. Thompson

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CRD#: 5210440

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.

Paul Adam Thompson was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 2007. Paul had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

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

December 17, 2018 - January 2, 2020

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

RIA

CRD#: 143319

SAN JOSE, CA

Past

October 29, 2018 - August 1, 2019

FORESIDE FINANCIAL SERVICES, LLC

CRD#: 148477

San Jose, CA

Past

October 1, 2015 - December 17, 2018

LWI FINANCIAL INC.

RIA

CRD#: 111861

SACRAMENTO, CA

Past

October 1, 2015 - October 29, 2018

LORING WARD SECURITIES INC.

CRD#: 46337

Sacramento, CA

Past

April 13, 2012 - December 9, 2014

LWI FINANCIAL INC.

RIA

CRD#: 111861

SAN JOSE, CA

Past

April 13, 2012 - April 15, 2015

LORING WARD SECURITIES INC.

CRD#: 46337

San Jose, CA

Past

July 31, 2009 - January 18, 2011

SORRENTO PACIFIC FINANCIAL, LLC

CRD#: 127787

SANTA BARBARA, CA

Past

September 8, 2008 - January 11, 2011

PARTNERVEST ADVISORY SERVICES LLC

RIA

CRD#: 113621

SANTA BARBARA, CA

Past

September 19, 2007 - July 31, 2009

PARTNERVEST SECURITIES, INC.

CRD#: 104134

SANTA BARBARA, CA

Past

August 1, 2007 - September 18, 2007

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

CARPINTERIA, CA

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".

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

BAM ADVISOR SERVICES, LLC | LORING WARD | FOCUS PARTNERS ADVISOR SOLUTIONS, LLC | CHARLESTON INVESTMENT ADVISORS | BUCKINGHAM STRATEGIC PARTNERS, LLC

CRD#: 143319 / SEC#: 801-67641

RIA

Registered Investment Advisory firm - (2/1/2007 Approved)

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 65

Date: 7/25/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/4/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/26/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/31/2007

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/23/2012

General Securities Principal Examination

Current Firm

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

BAM ADVISOR SERVICES, LLC | LORING WARD | FOCUS PARTNERS ADVISOR SOLUTIONS, LLC | CHARLESTON INVESTMENT ADVISORS | BUCKINGHAM STRATEGIC PARTNERS, LLC

CRD#: 143319 / SEC#: 801-67641

RIA

Registered Investment Advisory firm - (2/1/2007 Approved)

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Contact information

Main Address

190 Carondelet Plaza Suite 600, St. Louis, MO 63105

Mailing Address

Phone number

(314) 725-0455

Established

Firm type

Fiscal year end

# of Employees

368

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (8/27/2025)

ADV PART 2B (3/31/2025)

Regulatory assets under management

Total Number of Accounts	78,053
AUM (Assets Under Management)	$ 32,238,330,999

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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Advisor Monitoring

Firm Stability Insights

Paul A. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FORESIDE FINANCIAL SERVICES, LLC

LWI FINANCIAL INC.

LORING WARD SECURITIES INC.

LWI FINANCIAL INC.

LORING WARD SECURITIES INC.

SORRENTO PACIFIC FINANCIAL, LLC

PARTNERVEST ADVISORY SERVICES LLC

PARTNERVEST SECURITIES, INC.

PLANMEMBER SECURITIES CORPORATION

Primary Firm SEC Registration

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/25/2008

Series 63

Date: 9/4/2007

SIE

Date: 10/1/2018

Series 7

Date: 6/26/2008

Series 6

Date: 7/31/2007

Series 24

Date: 8/23/2012

Current Firm

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FOCUS PARTNERS ADVISOR SOLUTIONS, LLC

TRUST BUT VERIFY

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