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Anne J. Thompson

GREENWOOD CAPITAL ASSOCIATES
Greenville, SC 29601
Some features on this profile are disabled
CRD#: 6496376
AT

Professional summary

Anne Jane Thompson, who also goes by Anne J Thompson, Anne Jane Vaughan, is a registered financial advisor currently at GREENWOOD CAPITAL ASSOCIATES, LLC located in Greenville, South Carolina.

Anne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Anne has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Anne J Thompson | Anne Jane Vaughan

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) Tel Alt, LLC; Not investment related; Greer, SC; Computer/IT Services - Owner; Start 02/05/2010; Less than 20 hours/month - 0 during trading hours; Started in 2010 for contractor purposes. Receiving compensation for services installed at client sites between 2010-2015.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anne Jane 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

November 1, 2024 - Present

GREENWOOD CAPITAL ASSOCIATES, LLC

Office #1: 201 W Mcbee Ave Suite 300, Greenville, SC 29601
RIA
CRD#: 115015
Greenville, SC
Past

March 23, 2023 - October 28, 2024

BCA PRIVATE WEALTH, INC.

RIA
CRD#: 140913
GREENVILLE, SC
Past

June 18, 2019 - April 17, 2023

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
Greenville, SC
Past

June 18, 2019 - April 17, 2023

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Greenville, SC
Past

November 20, 2015 - March 6, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
SPARTANBURG, SC
Past

August 26, 2015 - March 6, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
SPARTANBURG, 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".
GC
GREENWOOD CAPITAL ASSOCIATES, LLC
GCA | GREENWOOD CAPITAL ASSOCIATES, LLC | GREENWOOD CAPITAL | GCA WEALTH | GCA INVESTMENTS

CRD#: 115015 / SEC#: 801-60493

RIA
Registered Investment Advisory firm - (9/5/2001 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.

Highlighted states indicate IAR registrations

IAR
South Carolina
(11/1/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/19/2015
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: 8/26/2015
General Securities Representative Examination

Current Firm

GC
GREENWOOD CAPITAL ASSOCIATES, LLC
GCA | GREENWOOD CAPITAL ASSOCIATES, LLC | GREENWOOD CAPITAL | GCA WEALTH | GCA INVESTMENTS

CRD#: 115015 / SEC#: 801-60493

RIA
Registered Investment Advisory firm - (9/5/2001 Approved)
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Contact information

Main Address
425 Main Street Suite 100, Greenwood, SC 29646-2741
Mailing Address
Post Office Box 3181, Greenwood, SC 29648-3181
Phone number
(864) 941-4049
Established
Firm type
Fiscal year end
# of Employees
19

SEC notice filing (10 States and Territories)

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Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

2025_8_4 FORM ADV 2A AND 2B (8/4/2025)

Regulatory assets under management

Total Number of Accounts706
AUM (Assets Under Management)$ 1,668,008,480

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

GREENWOOD CAPITAL ASSOCIATES, LLC

CRD#: 115015Greenville, SC 29601

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