Davis R. Thompson

THOMPSON & THOMPSON INVESTMENT ADVISORS

PASADENA, CA

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CRD#: 7199870

Professional summary

Davis R Thompson, who also goes by Rick Thompson, is a registered financial advisor currently at THOMPSON & THOMPSON INVESTMENT ADVISORS, INC. located in Pasadena, California.

Davis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Davis has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick 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.

I am also currently the Engineering & Computer Science Program Director at Tarbut V'Torah Community Day School at 5 Federation Way, Irvine, CA 92603. This business is an elementary and secondary school and is not investment related. It is not related to our advisory firm. I began working for the school in October 2020. I devote 40 hours per week during the school year to this business. I devote six hours of time on school days during trading hours. I teach, write and review curriculum, manage labs, equipment, and supplies, and oversee other teachers within the program.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Davis R 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

January 3, 2020 - Present

THOMPSON & THOMPSON INVESTMENT ADVISORS, INC.

RIA

CRD#: 306408

PASADENA, CA

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
(1/3/2020)

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Exams

State Security Law Exam

IAR

Series 65

Date: 6/13/2019

Uniform Investment Adviser Law Examination

Current Firm

THOMPSON & THOMPSON INVESTMENT ADVISORS, INC.

CRD#: 306408 / SEC#:

California

Registered Investment Advisory firm - (1/3/2020 Approved)

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Contact information

Main Address

Pasadena, CA

Mailing Address

Phone number

(626) 639-6562

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	46
AUM (Assets Under Management)	$ 22,784,722

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Davis R. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Davis R Thompson's CRS (Customer Relationship Summary).

Certified licenses

Experience

THOMPSON & THOMPSON INVESTMENT ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/13/2019

Current Firm

THOMPSON & THOMPSON INVESTMENT ADVISORS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THOMPSON & THOMPSON INVESTMENT ADVISORS, INC.

TRUST BUT VERIFY

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