Trenton J. Thompson

ASSOCIATED INVESTMENT SERVICES

Green Bay, WI 54301-5114

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CRD#: 6801610

Professional summary

Trenton Jeffrey Thompson, who also goes by Tj Thompson, is a registered financial professional currently at ASSOCIATED INVESTMENT SERVICES, INC. located in Green Bay, Wisconsin.

Trenton is registered as a RR (Registered Representative) and started their career in finance in 2017. Trenton has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tj 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Trenton Jeffrey 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

June 27, 2019 - Present

ASSOCIATED INVESTMENT SERVICES, INC.

Office #1: 433 Main Street, Green Bay, WI 54301-5114

RIA

CRD#: 1464

Green Bay, WI

Past

June 28, 2017 - June 21, 2019

THE HUNTINGTON INVESTMENT COMPANY

CRD#: 16986

SUAMICO, WI

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".

ASSOCIATED INVESTMENT SERVICES, INC.

CRD#: 1464 / SEC#: 801-71639, 8-99

RIA

Registered Investment Advisory firm - SEC (7/1/2010 Approved)

Illinois

Registered Investment Advisory firm - SEC (7/1/2010 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (7/21/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (7/20/2010 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(2/2/2021)

Alaska
(2/2/2021)

Arizona
(10/25/2019)

Arkansas
(2/2/2021)

California
(2/2/2021)

Colorado
(2/2/2021)

Connecticut
(2/2/2021)

Delaware
(2/2/2021)

Florida
(10/25/2019)

Georgia
(2/2/2021)

Hawaii
(2/2/2021)

Idaho
(2/2/2021)

Illinois
(6/27/2019)

Indiana
(2/2/2021)

Iowa
(2/2/2021)

Kansas
(2/2/2021)

Kentucky
(2/2/2021)

Louisiana
(2/2/2021)

Maine
(2/2/2021)

Maryland
(2/2/2021)

Massachusetts
(2/2/2021)

Michigan
(2/2/2021)

Minnesota
(6/27/2019)

Mississippi
(2/2/2021)

Missouri
(2/2/2021)

Montana
(2/2/2021)

Nebraska
(2/2/2021)

Nevada
(2/2/2021)

New Hampshire
(2/2/2021)

New Jersey
(1/22/2021)

New Mexico
(2/2/2021)

New York
(2/2/2021)

North Carolina
(2/2/2021)

North Dakota
(2/2/2021)

Ohio
(2/2/2021)

Oklahoma
(2/2/2021)

Oregon
(2/2/2021)

Pennsylvania
(2/2/2021)

Rhode Island
(2/2/2021)

South Carolina
(2/2/2021)

South Dakota
(2/2/2021)

Texas
(2/2/2021)

Utah
(2/2/2021)

Vermont
(2/2/2021)

Virginia
(2/2/2021)

Washington
(2/2/2021)

West Virginia
(2/2/2021)

Wisconsin
(6/27/2019)

Wyoming
(2/2/2021)

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

Series 63

Date: 7/17/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/11/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/28/2017

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ASSOCIATED INVESTMENT SERVICES, INC.

CRD#: 1464 / SEC#: 801-71639, 8-99

RIA

Registered Investment Advisory firm - SEC (7/1/2010 Approved)

Illinois

Registered Investment Advisory firm - SEC (7/1/2010 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (7/21/2010 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (7/20/2010 Terminated)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

433 Main Street, Green Bay, WI 54301-5114

Mailing Address

P.o. Box 640, Green Bay, WI 54305-0640

Phone number

(800) 595-7722

Established

Wisconsin since 03/23/1923

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (19 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

2025-08-29 FORM ADV (8/29/2025)

Direct owners and executive officers

Name	Position	CRD#
ASSOCIATED TRUST COMPANY, N.A.	SOLE SHAREHOLDER
ARNOLD, ANDREW JAMES	DIRECTOR, TREASURER	7744204
BIESE, JUSTIN MICHAEL	PRINCIPAL, FINANCIAL REPORTING	8134423
CRAVILLION, BETH ANN	DIRECTOR OF SUPPORT SERVICES	4770231
DELOYE, DENNIS MICHAEL	DIRECTOR, BOARD OF DIRECTORS	7555524
HLADIO, JAYNE CLARA	DIRECTOR, BOARD OF DIRECTORS	2497546
HOCHHOLZER, MICHAEL ROBERT	DIRECTOR, BOARD OF DIRECTORS	2878493
KUIPERS, MICHAEL DAVID	DIRECTOR, PRESIDENT & CEO	2436388
PECORA, ANTHONY PHILIP	CHIEF COMPLIANCE OFFICER	2975013
SORENSON, HEATH WILLIAM	CHAIRMAN, BOARD OF DIRECTORS	4528655
ZANDPOUR, STEVEN SIA	DIRECTOR, BOARD OF DIRECTORS	7174720

Regulatory assets under management

Total Number of Accounts	5,050
AUM (Assets Under Management)	$ 1,000,633,569

Disclosures

Regulatory Event	2
Arbitration	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/15/2025	Cover Page	Report
09/26/2024	Cover Page	Report
08/21/2023	Cover Page	Report
10/19/2022	Cover Page	Report

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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Trenton J. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Trenton Jeffrey Thompson's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE HUNTINGTON INVESTMENT COMPANY

Primary Firm SEC Registration

ASSOCIATED INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/17/2017

Series 7TO

Date: 10/11/2019

SIE

Date: 10/1/2018

Series 6

Date: 6/28/2017

FINRA

Current Firm

ASSOCIATED INVESTMENT SERVICES, INC.

Contact information

SEC notice filing (19 States and Territories)

FINRA licenses (50 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

ASSOCIATED INVESTMENT SERVICES, INC.

TRUST BUT VERIFY

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