PT
Paul B. Thompson
ASCENSION CAPITAL ADVISORS
Houston, TX 77056
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CRD#: 5942704
PT
Professional summary
Paul Bundy Thompson JR, CFP®, who also goes by Paul Thompson, is a registered financial advisor currently at ASCENSION CAPITAL ADVISORS, INC. located in Houston, Texas and PURSHE KAPLAN STERLING INVESTMENTS located in Houston, Texas.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Paul has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul Thompson
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) Ascension Capital Advisors, Inc- SEC Advisory Firm- Investment Related Business- Financial Advisor- 4900 Woodway Ste 1150 Houston, TX 77056- 45- hours/ week- 45 hours during securities trading business- Financial advisor managing client accounts on a discretionary basis, chief compliance officer and general admin duties. 2)Ascension Capital Advisors, Inc. -Fixed Insurance Business- Not investment related- Insurance Producer- 4900 Woodway Ste 1150 Houston, TX 77056- 3-5 Hours/Month- As a result of financial planning or client inquiries engaging in the discussion of life insurance and fixed annuities 3) Texas Center for the Missing. Not Investment Related. 2500 Bolsover Street, Houston TX 77005. Non Profit. Board Member. Start 8/2015. 10 hours per month, not during trading. Board of Directors role, oversight, strategic planning, fundraising, etc. 4) D. Truitt and Lorna Davis Foundation. Not Investment Related. 1623 Harvard St. Houston, TX 77008. Charitable Foundation focusing on early childhood education. Board and investment committee member. April 2022. Less than 1 hour/month. Attend board and investment committee meetings. 5) Infinity Ice, LLC. Not Investment Related. 3128 S. Dairy Ashford Road, Building A, Houston TX 77082. Ice Vending Machine. President. Start date: 01/15/2025. 10 hrs/month, none during trading hours. Commerical Ice Vending Machine.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Bundy Thompson JR'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®
CFP®
Start date: 2014
Experience
Current
October 15, 2015 - Present
ASCENSION CAPITAL ADVISORS, INC.
Office #1: 4900 Woodway Drive Suite 1150, Houston, TX 77056RIA
CRD#: 109518
Houston, TX
Current
October 26, 2016 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 4900 Woodway Suite 1150, Houston, TX 77056BD
CRD#: 35747
Houston, TX
Past
July 10, 2012 - November 7, 2014
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
KATY, TX
Past
August 25, 2011 - November 6, 2014
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
KATY, TX
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".
AC
ASCENSION CAPITAL ADVISORS, INC.
ASCENSION CAPITAL ADVISORS, INC.
CRD#: 109518 / SEC#: 801-57951
RIA
Registered Investment Advisory firm - (9/15/2000 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.RR
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
RR
Colorado(1/16/2019)
RR
Missouri(1/16/2019)
IAR
Texas(10/15/2015)
RR
Texas(10/26/2016)
RR
Washington(1/16/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AC
ASCENSION CAPITAL ADVISORS, INC.
ASCENSION CAPITAL ADVISORS, INC.
CRD#: 109518 / SEC#: 801-57951
RIA
Registered Investment Advisory firm - (9/15/2000 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4900 Woodway Drive Suite 1150, Houston, TX 77056
Mailing Address
Phone number
(713) 952-6900
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 519 |
| AUM (Assets Under Management) | $ 634,287,172 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 01/18/2024 | ||
| 01/18/2023 |
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.
