Samuel Alexander Thompson Iii
Professional Summary
Samuel Alexander Thompson III, who also goes by Samuel Alexander Thompson, is a registered financial advisor currently at SUMMIT ASSET MANAGEMENT LLC located in Memphis, Tennessee. Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Samuel has worked at 4 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Samuel Alexander Thompson
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
45 years in the financial services industry
Current & Past Employments
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Current Firm
SUMMIT ASSET MANAGEMENT LLC
Contact Information
Main Address
5100 Wheelis Drive Suite 107, Memphis, TN 38117Phone Number
(901) 729-8100# of Employees
8SEC notice filing (12 States and Territories)
Registered to provide investment advisory services in 12 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,522AUM (Assets Under Management)
$1,079,755,571Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
SUMMIT ASSET MANAGEMENT LLC
State Registrations and Notice Filings
(4/1/2004)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Feb 1985About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 1981About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Samuel Alexander Thompson III's CRS (Customer Relationship Summary).
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