Nicholas J. Thompson
CFP®Professional Summary
Nicholas J. Thompson, CFP® is a registered financial advisor currently at CHICAGO WEALTH MANAGEMENT, INC. located in Chicago, Illinois. Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Nicholas has worked at 1 firm and has passed the Series 65 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Credentials
Years of Experience
14 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
CHICAGO WEALTH MANAGEMENT, INC. | FOCUS FINANCIAL GROUP, INC. | CRIBBS, JEFFREY GEORGE
Contact Information
Main Address
Two North Riverside Plaza Suite 1620, Chicago, IL 60606Phone Number
(312) 376-8350# of Employees
6SEC notice filing (7 States and Territories)
Registered to provide investment advisory services in 7 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,037AUM (Assets Under Management)
$365,707,162Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
CHICAGO WEALTH MANAGEMENT, INC. | FOCUS FINANCIAL GROUP, INC. | CRIBBS, JEFFREY GEORGE
State Registrations and Notice Filings
(5/22/2012)
(11/3/2022)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Nicholas J. Thompson's CRS (Customer Relationship Summary).
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