Erik J. Thompson

MID MICHIGAN INSURANCE AND FINANCIAL SERVICES LLC

Bay City, MI 48706

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CRD#: 6701093

Professional summary

Erik James Thompson, who also goes by Erik Thompson, is a registered financial advisor currently at MID MICHIGAN INSURANCE AND FINANCIAL SERVICES LLC located in Bay City, Michigan.

Erik is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Erik has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Erik Thompson

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.

Mid Michigan Insurance and Finacial Services - Branch Manager performing Insurance sales and management of insurance agents My role also in includes training new agents how to sell insurance products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erik James 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®

None

Experience

Current

April 5, 2021 - Present

MID MICHIGAN INSURANCE AND FINANCIAL SERVICES LLC

Office #1: 815 E Midland St Suite 2, Bay City, MI 48706

RIA

CRD#: 311449

Bay City, MI

Past

September 15, 2016 - May 14, 2020

BANKERS LIFE SECURITIES, INC.

CRD#: 173962

SAGINAW, MI

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

Michigan
(4/5/2021)

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

State Security Law Exam

IAR

Series 65

Date: 2/22/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/29/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/15/2016

Investment Company Products/Variable Contracts Representative Examination

Current Firm

MID MICHIGAN INSURANCE AND FINANCIAL SERVICES LLC

CRD#: 311449 / SEC#:

Indiana

Registered Investment Advisory firm - (6/20/2022 Approved)

Michigan

Registered Investment Advisory firm - (4/1/2021 Approved)

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Contact information

Main Address

815 E Midland St Suite 2, Bay City, MI 48706

Mailing Address

Phone number

(989) 327-9660

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	82
AUM (Assets Under Management)	$ 6,786,384

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.

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Erik J. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erik James Thompson's CRS (Customer Relationship Summary).

Certified licenses

Experience

MID MICHIGAN INSURANCE AND FINANCIAL SERVICES LLC

BANKERS LIFE SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/22/2021

Series 63

Date: 9/29/2016

SIE

Date: 10/1/2018

Series 6

Date: 9/15/2016

Current Firm

MID MICHIGAN INSURANCE AND FINANCIAL SERVICES LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MID MICHIGAN INSURANCE AND FINANCIAL SERVICES LLC

TRUST BUT VERIFY

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