Kristopher D. Thompson

THE ASCENT GROUP

Wayne, PA 19087

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CRD#: 6970445

Professional summary

Kristopher Donald Thompson is a registered financial advisor currently at THE ASCENT GROUP, LLC located in Wayne, Pennsylvania and OSAIC WEALTH, INC. located in Wayne, Pennsylvania.

Kristopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Kristopher has worked at 4 firms and has passed the Series 66, Series 7TO and SIE 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.

1)The Ascent Group;investment related;192 Ballart Court,Ste 400,Virginia Beach,VA 23462;llc;investment advisor representative;3/2024;160 hrs/month;130 hrs during trading;provide investment advice to clients 2)Legion of Valor,Inc; not investment related;501 East Union St, West Chester, PA 19382;501(c)(3) dedicated to helping injured veterans have access to sporting equipment and sporting events, particularly for equipment that requires modification to support injury; board member;7/1/2022;1 hr/month; 1 hr during trading;aid in the CEO/Founder's strategic approach to supporting the goals of the organization

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristopher Donald 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

April 12, 2024 - Present

THE ASCENT GROUP, LLC

Office #1: 119 West Wayne Ave., Wayne, PA 19087

RIA

CRD#: 314424

Wayne, PA

Current

August 23, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 119 West Wayne Avenue, Wayne, PA 19087

RIA

CRD#: 23131

Wayne, PA

Past

March 5, 2024 - August 23, 2024

TRIAD ADVISORS LLC

CRD#: 25803

Wayne, PA

Past

April 26, 2022 - February 1, 2024

KEY FINANCIAL, INC.

RIA

CRD#: 116240

WEST CHESTER, PA

Past

January 21, 2022 - January 17, 2024

OSAIC WEALTH, INC.

RIA

CRD#: 23131

WEST CHESTER, PA

Past

June 14, 2021 - January 17, 2024

OSAIC WEALTH, INC.

CRD#: 23131

WEST CHESTER, PA

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".

THE ASCENT GROUP, LLC

CRD#: 314424 / SEC#: 801-121182

RIA

Registered Investment Advisory firm - (5/10/2021 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.

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

IAR

Pennsylvania
(4/12/2024)

Pennsylvania
(8/23/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/12/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/14/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/16/2021

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

THE ASCENT GROUP, LLC

CRD#: 314424 / SEC#: 801-121182

RIA

Registered Investment Advisory firm - (5/10/2021 Approved)

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Contact information

Main Address

192 Ballard Court Suite 400, Virginia Beach, VA 23462

Mailing Address

Phone number

(757) 499-8300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (25 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR THE ASCENT GROUP, LLC (3/31/2025)

Regulatory assets under management

Total Number of Accounts	7,304
AUM (Assets Under Management)	$ 4,933,296,606

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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Advisor Monitoring

Firm Stability Insights

Kristopher D. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kristopher Donald Thompson's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

TRIAD ADVISORS LLC

KEY FINANCIAL, INC.

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

Primary Firm SEC Registration

THE ASCENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/12/2021

Series 7TO

Date: 6/14/2021

SIE

Date: 4/16/2021

FINRA

Current Firm

THE ASCENT GROUP, LLC

Contact information

SEC notice filing (25 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE ASCENT GROUP, LLC

TRUST BUT VERIFY

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