MT
Michael R. Thompson
SPECTRUM WEALTH ADVISORY GROUP
GRANITE BAY, CA 95746
Some features on this profile are disabled
CRD#: 6211875
MT
Professional summary
Michael Rutherford Thompson is a registered financial advisor currently at SPECTRUM WEALTH ADVISORY GROUP, LLC located in Granite Bay, California and RUTHERFORD CAPITAL, INC. located in Granite Bay, California.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Michael 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) 05/14/2014 - NON-VARIABLE INSURANCE - MICHAEL THOMPSON - FIXED LIFE-AGENT. SELL LIFE INSURANCE - 25% OF TIME SPENT - GRANITE BAY, CA. 2) 1/31/2019 - Spectrum Wealth Advisory Group, LLC - DBA: Spectrum Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 12/20/2018 - 180 Hours Per Month/10 Hours During Securities Trading. 3) 9/23/2020 - Spectrum Wealth Advisory Group, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 12/20/2018 - 170 Hours Per Month/24 Hour During Securities Trading - I provide investment advisory services through Spectrum Wealth Advisory Group, LLC, an independent investment advisor firm. I started this business activity in 12/2018. I expect to spend approximately 170 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4) 8/13/2021 - Rutherford Capital Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 7/21/2021 - 160 Hours Per Month/160 Hours During Securities Trading. 5) 11/22/2021 - KCGC GROUP LLC - Investment Related - 5925 GRANITE LAKE DRIVE #130 GRANITE BAY, CA 95746 - Real Estate Rental - Start Date: 08/17/2021 - 1 Hour Per Month/1 Hour During Securities Trading - FORMED AN LLC TO OWN THE OFFICE BUILDING THAT WE OPERATE OUR ADVISORY FIRM FROM. 6) 11/28/2022 - Rutherford Capital Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Start Date - 09/22/2022 - 1 Hours Per Month/1 Hours During Securities Trading - I provide financial planning and consulting services through Rutherford Capital Inc., an independent investment advisor firm.� I started this business activity in 9/2022.�I expect to spend approximately 1 hours per month on this activity.�Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD.�The advisory firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Rutherford Thompson'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®
NoneExperience
Current
January 30, 2019 - Present
SPECTRUM WEALTH ADVISORY GROUP, LLC
Office #1: 5925 Granite Lake Drive Suite 130, Granite Bay, CA 95746RIA
CRD#: 298632
GRANITE BAY, CA
Current
April 18, 2022 - Present
RUTHERFORD CAPITAL, INC.
Office #1: 5925 Granite Lake Drive Suite 130, Granite Bay, CA 95746RIA
CRD#: 319416
Granite Bay, CA
Current
October 30, 2013 - Present
LPL FINANCIAL LLC
Office #1: 5925 Granite Lake Dr, Ste 130, Granite Bay, CA 95746RIA
BD
CRD#: 6413
Granite Bay, CA
Past
April 20, 2016 - January 3, 2019
THE WEALTH CONSULTING GROUP
RIA
CRD#: 173194
GRANITE BAY, CA
Past
December 9, 2013 - September 8, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
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".
SW
SPECTRUM WEALTH ADVISORY GROUP, LLC
SPECTRUM WEALTH ADVISORS | SPECTRUM WEALTH ADVISORY GROUP, LLC
CRD#: 298632 / SEC#: 801-114024
RIA
Registered Investment Advisory firm - (9/21/2018 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
California(12/5/2013)
IAR
California(1/30/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SW
SPECTRUM WEALTH ADVISORY GROUP, LLC
SPECTRUM WEALTH ADVISORS | SPECTRUM WEALTH ADVISORY GROUP, LLC
CRD#: 298632 / SEC#: 801-114024
RIA
Registered Investment Advisory firm - (9/21/2018 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
5925 Granite Lake Drive Suite 130, Granite Bay, CA 95746
Mailing Address
Phone number
(916) 772-5970
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 604 |
| AUM (Assets Under Management) | $ 370,021,321 |
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.
Company Information
SPECTRUM WEALTH ADVISORY GROUP, LLC
CRD#: 298632Granite Bay, CA 95746TRUST BUT VERIFY
Monitor Michael Thompson
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
