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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Alan Thompson is a financial advisor with over 25 years of experience in the industry. Richard is a Registered Representative and Investment Advisor Representative with LPL Financial LLC, a leading independent broker-dealer and financial advisor. Richard has held numerous leadership positions in the industry and has a strong track record of success. Richard is committed to providing his clients with personalized financial advice and guidance. He offers a range of financial services, including financial planning, investment management, and retirement planning. Richard has worked at other firms in the past, including Sentra Securities Corporation, Spelman & Co., Inc., SunAmerica Securities, Inc., TD Waterhouse Investor Services, Inc., and Jack White & Company, Inc.
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
CA
01/25/2010 - Present
LPL Financial LLC (SAN DIEGO CA)
AZ
04/14/2003 - 12/19/2003
SENTRA SECURITIES CORPORATION (PHOENIX AZ)
AZ
04/14/2003 - 12/19/2003
SPELMAN & CO., INC. (PHOENIX AZ)
AZ
04/14/2003 - 12/19/2003
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
NE
06/01/1998 - 07/30/2002
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
NA
09/09/1997 - 06/01/1998
JACK WHITE & COMPANY, INC.
BOTH
Issued 07/03/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/15/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/13/2023
Series 14 - Compliance Officer Examination
BC
Issued 12/30/2014
Series 4 - Registered Options Principal Examination
BC
Issued 12/29/2000
Series 24 - General Securities Principal Examination
BC
Issued 12/14/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/22/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/08/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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