AT
Alton B. Thompson
WORTH ASSET MANAGEMENT
Frisco, TX 75034
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CRD#: 7065036
AT
Professional summary
Alton Barrett Thompson is a registered financial advisor currently at WORTH ASSET MANAGEMENT located in Frisco, Texas.
Alton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Alton has worked at 2 firms and has passed the Series 65, Series 63, Series 6TO 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.
Part time sales work for 2 small companies: TAP Innovations & Dealer Detail Services - TAP sells productivity software for businesses, and I will attempt to generate sales leads for them on a part time basis - Dealer Detail Services provides detail work on used cars for car dealerships. I will attempt to generate sales leads with them at local car dealerships on a part time basis. Neither are investment related. I have no ownership in either company. TAP Innovations 1540 Keller Pwy, Suite 108-262 Keller, TX 76248 Start Date: 1/1 2019 Approx hours/month: 10 hrs/mo - expecting roughly 8 hrs/mo during market hours Dealer Detail Services 60 Hudson Branch Dr Austin, AR 72007 Start Date: 1/1/2019 Approx hours/month: 10 hrs/mo - expecting roughly 6 hrs/mo during market hours Retirement Plans.com,Is Investment Related,,Financial Advisor on 401k plans,Advisor,2020-11-01,2 hours per month,0 hours per month during trading hours,Fee Based Compensation, Third Party 401k Plan Administrator.
CRS (Client Relationship Summary) - RIA
Click below to view Alton Barrett 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®
NoneExperience
Current
April 10, 2019 - Present
WORTH ASSET MANAGEMENT
Office #1: 3232 Camden Bluff Rd, Frisco, TX 75034RIA
CRD#: 166970
Frisco, TX
Past
November 19, 2020 - March 22, 2022
WORTH FINANCIAL GROUP INC.
RIA
CRD#: 13478
Frisco, TX
Past
January 31, 2019 - March 22, 2022
WORTH FINANCIAL GROUP INC.
BD
CRD#: 13478
DALLAS, TX
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".
WA
WORTH ASSET MANAGEMENT
WORTH ASSET MANAGEMENT | WORTH ASSET MANAGEMENT, LLC
CRD#: 166970 / SEC#: 801-122206
RIA
Registered Investment Advisory firm - (7/1/2021 Approved)Texas
Registered Investment Advisory firm - (11/11/2021 Terminated)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
Texas(4/10/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/31/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
Current Firm
WA
WORTH ASSET MANAGEMENT
WORTH ASSET MANAGEMENT | WORTH ASSET MANAGEMENT, LLC
CRD#: 166970 / SEC#: 801-122206
RIA
Registered Investment Advisory firm - (7/1/2021 Approved)Texas
Registered Investment Advisory firm - (11/11/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
16660 Dallas Parkway Suite 1000, Dallas, TX 75248-2612
Mailing Address
Phone number
(469) 257-5074
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 344 |
| AUM (Assets Under Management) | $ 270,009,431 |
Red Flags
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Company Information
WORTH ASSET MANAGEMENT
CRD#: 166970Frisco, TX 75034TRUST BUT VERIFY
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