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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew Thompson is a financial advisor who has been working in the financial industry since 1998. Andrew is currently registered with Raymond James Financial Services Advisors, Inc., where Andrew has been employed since January 2009. Prior to joining Raymond James Financial Services Advisors, Inc., Andrew worked at McDonald Investments Inc. and Piper Jaffray & Co. in Salt Lake City, Utah, and RBC Dain Rauscher Inc. in New York, NY. Andrew is registered as an investment advisor representative in the state of Utah and is also licensed in several other states, including Arizona, California, Colorado, Florida, Georgia, Idaho, Massachusetts, Montana, Nevada, Tennessee, Utah, and Wisconsin. Andrew has earned the Series 7, Series 9, Series 10, Series 31, Series 63, and Series 65 licenses. Andrew's expertise lies in helping individuals, businesses, and high-net-worth clients develop and execute financial strategies. He also specializes in providing financial planning, pension consulting, and educational seminars to his clients.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Hourly & fixed rate consultations
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Per participant (erisa)
1
2
UT
01/02/2009 - Present
Raymond James Financial Services Advisors, Inc. (Sandy UT)
UT
03/06/2006 - 12/20/2006
MCDONALD INVESTMENTS INC. (SALT LAKE CITY UT)
UT
03/01/2002 - 03/16/2006
PIPER JAFFRAY & CO. (SALT LAKE CITY UT)
NY
03/26/1998 - 03/13/2002
RBC DAIN RAUSCHER INC. (NEW YORK NY)
IA
Issued 04/14/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/09/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/12/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/05/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/27/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 03/25/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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