Charles P. Thompson

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CRD#: 5235674

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.

Charles Patrick Thompson, CFP® was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 2007. Charles had worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 26 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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Past

April 26, 2023 - November 21, 2025

MODERA WEALTH MANAGEMENT, LLC

RIA

CRD#: 155649

ASHEVILLE, NC

Past

October 18, 2018 - April 27, 2023

PARSEC FINANCIAL

RIA

CRD#: 104919

ASHEVILLE, NC

Past

November 12, 2014 - October 22, 2018

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA

CRD#: 107319

ASHEVILLE, NC

Past

October 13, 2009 - October 22, 2018

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

HARRISON, NY

Past

April 12, 2007 - September 1, 2009

FIRST CITIZENS INVESTOR SERVICES, INC.

CRD#: 44430

ASHEVILLE, NC

Past

February 6, 2007 - September 1, 2009

FIRST CITIZENS INVESTOR SERVICES, INC.

RIA

CRD#: 44430

ASHEVILLE, NC

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".

MODERA WEALTH MANAGEMENT, LLC

MODERA ADVISORS OF CRYSTAL RIVER, LLC | MODERA WEALTH MANAGEMENT, LLC

CRD#: 155649 / SEC#: 801-71973

RIA

Registered Investment Advisory firm - (11/16/2010 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 66

Date: 1/30/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/11/2007

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 1/20/2015

Investment Company Products/Variable Contracts Principal Examination

Current Firm

MODERA WEALTH MANAGEMENT, LLC

MODERA ADVISORS OF CRYSTAL RIVER, LLC | MODERA WEALTH MANAGEMENT, LLC

CRD#: 155649 / SEC#: 801-71973

RIA

Registered Investment Advisory firm - (11/16/2010 Approved)

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Contact information

Main Address

56 Jefferson Avenue, Westwood, NJ 07675

Mailing Address

Phone number

(201) 768-4600

Established

Firm type

Fiscal year end

# of Employees

219

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

03 24 2025 MWM FORM ADV PART 2A FINAL (3/24/2025)

Regulatory assets under management

Total Number of Accounts	20,833
AUM (Assets Under Management)	$ 15,510,482,152

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/21/2025	Cover Page	Report
12/20/2024	Cover Page	Report
01/26/2024	Cover Page	Report
01/25/2023	Cover Page	Report

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

Charles P. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PARSEC FINANCIAL

TRANSAMERICA RETIREMENT ADVISORS, LLC

TRANSAMERICA INVESTORS SECURITIES, LLC

FIRST CITIZENS INVESTOR SERVICES, INC.

FIRST CITIZENS INVESTOR SERVICES, INC.

Primary Firm SEC Registration

MODERA WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/30/2007

SIE

Date: 10/1/2018

Series 7

Date: 1/11/2007

Series 26

Date: 1/20/2015

Current Firm

MODERA WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MODERA WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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