Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Allen Thompson is a financial advisor at LPL Financial LLC, located in WHITE PLANS, NY. James has been in the industry since 1983. James holds several licenses including Series 6, 7, 22, 24, 39, 62, and SIE. Prior to joining LPL, James has worked for firms such as MML Investors Services, LLC, MSI Financial Services, INC., National Planning Corporation, AmeriProp, INC., The Thompson Group, INC., and NYLIFE Securities INC. James specializes in a wide range of services including financial planning, portfolio management for individuals and businesses, and consulting.
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.
Consulting and other non-discretionary advisory services
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.
1
2
NY
09/25/2020 - Present
LPL Financial LLC (WHITE PLANS NY)
NY
03/25/2017 - 10/01/2020
MML INVESTORS SERVICES, LLC (ELMSFORD NY)
NY
01/29/2010 - 03/25/2017
MSI FINANCIAL SERVICES, INC. (ELMSFORD NY)
NY
06/09/2003 - 01/25/2010
NATIONAL PLANNING CORPORATION (TARRYTOWN NY)
NY
03/20/2003 - 06/03/2003
AMERIPROP, INC. (MELVILLE NY)
NY
03/01/1989 - 02/26/2003
THE THOMPSON GROUP, INC. (WHITE PLAINS NY)
NY
09/26/1983 - 12/31/1989
NYLIFE SECURITIES INC. (NEW YORK NY)
BC
Issued 09/14/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/14/1990
Series 24 - General Securities Principal Examination
BC
Issued 08/10/1988
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/29/2014
Series 7 - General Securities Representative Examination
BC
Issued 04/20/1990
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 09/14/1984
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 09/23/1983
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure James Thompson is the right advisor for you? Invested Better is here to help.
