Neal A. Thompson

HARBOUR INVESTMENTS

SCOTTSDALE, AZ 85254

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CRD#: 5252962

Professional summary

Neal Alexander Thompson, AIF® is a registered financial advisor currently at HARBOUR INVESTMENTS, INC. located in Scottsdale, Arizona.

Neal is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Neal has worked at 4 firms and has passed the Series 66, SIE and Series 7 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)THOMPSON WEALTH MANAGEMENT, 17470 N PACESETTER WAY, SCOTTSDALE, AZ, 8/2010 AS PRESIDENT/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. 7 HR/WK - 3/TRADING, INCLUDING EQUITY INDEXED ANNUITIES. 2)FEDERAL RETIREMENT SERVICES, 17470 N PACESETTER WAY, SCOTTSDALE, AZ, 12/2012 AS BENEFITS COUNSELOR. NIR - 10 HR/MO - 5/TRADING. WE PROVIDE FEDERAL EMPLOYEE EDUCATION PRESENTATIONS ON EMPLOYER BENEFITS, FEDERAL AGENCIES AND DEPARTMENTS CONTRACT US TO GIVE THIER EMPLOYEES BENEFITS EDUCATION AND TRAINING 3)HOMESMART, NOT INVESTMENT RELATED, REAL ESTATE REALTOR, 06/09/2022, 5 HRS PER MONTH, 0 HRS PER MONTH DURING TRADING, COMMISSION COMPENSATION, REAL ESTATE AGENT BUYING AND SELLING PROPERTY 4) ROSEWOOD CONCEPTS LLC,IS NOT INVESTMENT RELATED,"8876 E PINNACLE PEAK RD, SUITE P-100, SCOTTSDALE, AZ, 85255, UNITED STATES",RESTAURANT,MANAGING PARTNER,10/23/2024,12 HOURS PER MONTH,0 HOURS PER MONTH DURING TRADING HOURS,OTHER COMPENSATION,"CO-OWNER. OVERSEE OPERATION AND STRATEGIC VISION. ROSEWOOD CONCEPTS LLC IS A HOLDING COMPANY FOR OUR RESTAURANTS. THE FIRST OF WHICH THAT WE ARE IN THE PROCESS OF OPENING IS CALLED THE BELMONT RESTAURANT, LLC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neal Alexander Thompson's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Neal Alexander 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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

January 12, 2018 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 16430 N Scottsdale Rd Suite 150, Scottsdale, AZ 85254

RIA

CRD#: 19258

SCOTTSDALE, AZ

Current

January 10, 2018 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 16430 N Scottsdale Rd Suite 150, Scottsdale, AZ 85254

RIA

CRD#: 19258

SCOTTSDALE, AZ

Past

August 18, 2010 - January 30, 2018

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Scottsdale, AZ

Past

August 6, 2010 - January 30, 2018

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

SCOTTSDALE, AZ

Past

February 26, 2008 - August 5, 2010

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

PHOENIX, AZ

Past

February 26, 2007 - August 5, 2010

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

PHOENIX, AZ

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".

HARBOUR INVESTMENTS, INC.

CRD#: 19258 / SEC#: 801-29185, 8-37373

RIA

Registered Investment Advisory firm - SEC (4/10/1987 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(1/10/2018)

IAR

Arizona
(1/12/2018)

California
(1/10/2018)

Colorado
(1/10/2018)

Florida
(2/6/2025)

Georgia
(2/6/2025)

Idaho
(1/10/2018)

Illinois
(10/14/2022)

Indiana
(10/16/2018)

Maine
(9/28/2023)

Maryland
(2/6/2025)

Massachusetts
(2/6/2025)

Nevada
(1/10/2018)

New Mexico
(8/2/2018)

New York
(1/10/2018)

North Carolina
(2/6/2025)

Ohio
(10/12/2018)

Oregon
(1/10/2018)

Tennessee
(10/15/2019)

Texas
(1/10/2018)

Utah
(1/22/2018)

Virginia
(9/12/2025)

Wisconsin
(1/10/2018)

Wyoming
(1/10/2018)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/19/2007

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: 2/23/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HARBOUR INVESTMENTS, INC.

CRD#: 19258 / SEC#: 801-29185, 8-37373

RIA

Registered Investment Advisory firm - SEC (4/10/1987 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

575 D'onofrio Drive Suite 300, Madison, WI 53719

Mailing Address

575 D'onofrio Drive Suite 300, Madison, WI 53719

Phone number

(608) 662-6100

Established

Wisconsin since 01/22/1987

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

231

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

INVESTMENT ADVISOR BROCHURE (10/2/2025)

Direct owners and executive officers

Name	Position	CRD#
SONDEL, NICK WILLIAM	CHIEF EXECUTIVE OFFICER	1261064
DUSHEK, JAMES WALTER	VICE PRESIDENT OF OPERATIONS	4323103
HAGER, AARON MICHAEL	PRESIDENT	5017811
KOPITZKE, KYLE LEE	CO-CCO	5675560
MEDLAND, RICHARD ONEILL	CO-CCO	2748242
MEYER, RHONDA LEE	SENIOR VICE PRESIDENT & CHIEF OPERATING OFFICER, FINOP	2285226
NELLES, JULIE MARIE	VP OF ADVISORY OPERATIONS & SERVICES	4771824
WIPPERFURTH, DANIEL THOMAS	VICE PRESIDENT OF ADVISOR DEVELOPMENT	4029404

Regulatory assets under management

Total Number of Accounts	38,692
AUM (Assets Under Management)	$ 7,569,614,628

Disclosures

Regulatory Event	3
Bond	6

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

Neal A. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Neal Alexander Thompson's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Neal Alexander Thompson's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARBOUR INVESTMENTS, INC.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

Primary Firm SEC Registration

HARBOUR INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/19/2007

SIE

Date: 10/1/2018

Series 7

Date: 2/23/2007

FINRA

Current Firm

HARBOUR INVESTMENTS, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

HARBOUR INVESTMENTS, INC.

TRUST BUT VERIFY

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