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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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Rutherford 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®
None

Experience

Current

January 30, 2019 - Present

SPECTRUM WEALTH ADVISORY GROUP, LLC

Office #1: 5925 Granite Lake Drive Suite 130, Granite Bay, CA 95746
RIA
CRD#: 298632
GRANITE BAY, CA
Current

April 18, 2022 - Present

RUTHERFORD CAPITAL, INC.

Office #1: 5925 Granite Lake Drive Suite 130, Granite Bay, CA 95746
RIA
CRD#: 319416
Granite Bay, CA
Current

October 30, 2013 - Present

LPL FINANCIAL LLC

Office #1: 5925 Granite Lake Dr, Ste 130, Granite Bay, CA 95746
RIA
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
RR
IAR
Series 66
Date: 12/4/2013
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/29/2013
General Securities Representative Examination
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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APP 1 - WRAP FEE BROCHURE (3/19/2025)
FORM ADV PART 2A - FIRM BROCHURE (3/19/2025)

Regulatory assets under management

Total Number of Accounts604
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 95746

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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