Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Dale Thompson is a financial advisor who has been in the industry since 2008. James is currently registered with Fidelity Personal And Workplace Advisors. James holds a Series 7, Series 6, Series 24, and Series 26. James has a combined 52 state registrations in the United States. James previously worked at Client One Securities LLC, Waddell & Reed, The Leaders Group, Inc., Jackson National Life Distributors, Inc., EquiTrust Marketing Services, LLC, and National Pension & Group Consultants, Inc. James offers a variety of financial planning services, including portfolio management for businesses and individuals, and financial planning.
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.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
CO
04/20/2023 - Present
Fidelity Personal AND Workplace Advisors (GREENWOOD VILLAGE CO)
KS
01/03/2017 - 04/06/2017
CLIENT ONE SECURITIES LLC (LEAWOOD KS)
KS
09/06/2013 - 11/16/2016
WADDELL & REED (OVERLAND PARK KS)
CO
09/07/2006 - 05/28/2013
THE LEADERS GROUP, INC. (LITTLETON CO)
TN
01/30/2002 - 08/04/2003
JACKSON NATIONAL LIFE DISTRIBUTORS, INC. (FRANKLIN TN)
IA
04/05/2000 - 12/13/2001
EQUITRUST MARKETING SERVICES, LLC (WEST DES MOINES IA)
MO
07/31/1998 - 04/03/2000
NATIONAL PENSION & GROUP CONSULTANTS, INC (KANSAS CITY MO)
BOTH
Issued 04/06/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/06/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/21/2007
Series 24 - General Securities Principal Examination
BC
Issued 08/25/2000
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 02/24/2023
Series 7TO - General Securities Representative Examination
BC
Issued 01/20/2023
SIE - Securities Industry Essentials Examination
BC
Issued 09/06/2006
Series 7 - General Securities Representative Examination
BC
Issued 07/06/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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