ERIC M. THOMPSON
SECFI ADVISORY LIMITED | PRINCIPAL
West Orange, NJ
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CRD#: 6534273
Professional summary
ERIC M THOMPSON, CFP® is a registered financial advisor currently at SECFI ADVISORY LIMITED located in West Orange, New Jersey.
ERIC is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. ERIC has worked at 3 firms and has passed the Series 65 exam.
Biography
Eric Thompson is a Principal in the New Jersey office, where he manages a broad range of investment advisory services for wealthy individuals with diverse needs. He is responsible for developing customized asset allocations, implementing comprehensive financial planning as well as coordinating day-to-day client requests.
Prior to joining Cerity Partners, Eric served as a Director, Wealth Advisor at Round Table Wealth Management. In this role, he provided in-depth financial planning that considered clients’ current and future needs.
Eric is an avid hiker and a musician in his free time, playing both the guitar and drums.
Question & Answer
What are your service offerings?
Education Planning
Investment Planning
Retirement Planning
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.
CRS (Client Relationship Summary) - RIA
Click below to view ERIC M 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®
CFP®
Start date: 2017
Education
Ramapo College of New Jersey
B.S. - Business Administration with a concentration in Finance
Experience
Current
January 15, 2025 - Present
SECFI ADVISORY LIMITED
RIA
CRD#: 306961
West Orange, NJ
Past
December 6, 2022 - January 3, 2025
CERITY PARTNERS LLC
RIA
CRD#: 151559
EDINA, MN
Past
September 22, 2015 - December 7, 2022
ROUND TABLE WEALTH MANAGEMENT
RIA
CRD#: 111304
Edina, MN
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".
SA
SECFI ADVISORY LIMITED
SECFI | SECFI WEALTH | SECFI ADVISORY LIMITED
CRD#: 306961 / SEC#: 801-126017
RIA
Registered Investment Advisory firm - (7/7/2022 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
California(1/15/2025)
IAR
New Jersey(2/10/2025)
IAR
New York(1/15/2025)
IAR
Texas(1/15/2025)
Current Firm
SA
SECFI ADVISORY LIMITED
SECFI | SECFI WEALTH | SECFI ADVISORY LIMITED
CRD#: 306961 / SEC#: 801-126017
RIA
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Contact information
Main Address
25 Broadway 10th Floor, New York, NY 10004
Mailing Address
Phone number
(707) 652-9961
Established
Firm type
Fiscal year end
# of Employees
16
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 88 |
| AUM (Assets Under Management) | $ 174,020,811 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 6/2/2022 |
Red Flags
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