David E. Thompson

THOMPSON CAPITAL MANAGEMENT

Peachtree City, GA

Some features on this profile are disabled

CRD#: 864383

Professional summary

David Eric Thompson is a registered financial advisor currently at THOMPSON CAPITAL MANAGEMENT located in Peachtree City, Georgia.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. David has worked at 1 firm and has passed the Series 65 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Eric 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

August 6, 2015 - Present

THOMPSON CAPITAL MANAGEMENT

RIA

CRD#: 226620

Peachtree City, GA

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

Georgia
(8/6/2015)

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

IAR

Series 65

Date: 7/6/2013

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 3/17/1979

General Securities Representative Examination

Current Firm

THOMPSON CAPITAL MANAGEMENT

THOMPSON CAPITAL MANAGEMENT | THOMPSON, DAVID ERIC

CRD#: 226620 / SEC#:

Georgia

Registered Investment Advisory firm - (8/6/2015 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Peachtree City, GA

Mailing Address

Phone number

(678) 525-7450

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David E. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Eric Thompson's CRS (Customer Relationship Summary).

Certified licenses

Experience

THOMPSON CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 7/6/2013

Series 7

Date: 3/17/1979

Current Firm

THOMPSON CAPITAL MANAGEMENT

Contact information

Documents

Red Flags

Company Information

THOMPSON CAPITAL MANAGEMENT

TRUST BUT VERIFY

Similar Advisors