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Current Employers
Raymond James Financial Services Advisors, Inc

880 Carillon Parkway, Saint Petersburg, FL 33716 • United States

Current Registrations

AuthorityCategoryStatusDate
SD RA APPROVED 2024-08-21
TX RA APPROVED 2024-08-19
  • SD RA
    APPROVED
    Since 2024-08-21
  • TX RA
    APPROVED
    Since 2024-08-19

Branch Locations

219 Founders Park Drive Suite 2, Rapid City, SD 57701 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Rapid City SD 07/2006 08/2024
Raymond James Financial Services, Inc. Rapid City SD 08/2024 Present
Raymond James Financial Services Advisors, Inc. Rapid City SD 08/2024 Present
Taylor Thompson Wealth Management Rapid City SD 08/2024 Present
Previous Registrations
  • 2008-07-07 → 2024-09-18
    Belle Fourche, SD
    Spearfish, SD
    Rapid City, SD
    Spearfish, SD
    Belle Fourche, SD
    Buffalo, SD
    Rapid City, SD
    Fort Mill, SC
    Rapid City, SD
    Spearfish, SD
    Belle Fourche, SD
    Rapid City, SD
    Sturgis, SD
    Sturgis, SD
    Spearfish, SD
    Sturgis, SD
    Rapid City, SD
Other Businesses

(1)Name of Business: Blessed Sacrament Catholic Church Address: 4500 Jackson Blvd, Rapid City, SD, 57702, United States Activity Type: Non profit Position/Title: Finance/Investment Committee Member Investment Related: Yes Start Date: 01/01/2022 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Oversee the monthly expenses and tithing. Recommend an annual budget for approval. Communicate with the Parish about the annual budget. (2)Name of Business: South Dakota Investment Council Address: 4009 West 49th Street, Suite 300, Sioux Falls, SD, 57106-3784, United States Activity Type: Board Member, Board Subcommittee Member, Officer, or Director Position/Title: Advisory Board Investment Related: Yes Start Date: 04/01/2023 Hours per month devoted to this business: 2-10 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Responsibilities\nAppoint and evaluate the State Investment Officer\nDevelop investment policy and establish asset allocation guidelines\nMonitor implementation of the investment process\nOversee the audit process through the SDIC Audit Committee\nComply with and monitor Code of Ethics and Personal Investing Guidelines\nApprove annual budget and long-term plan (3)Name of Business: Thompson & Co. Wealth Management Address: 219 Founders Park Dr Ste 2, Rapid City, SD, 57701-8172, United States Activity Type: Support Company - Owner Position/Title: Independent Contractor Investment Related: No Start Date: 08/19/2024 Hours per month devoted to this business: 41-80 Hours per month devoted to this business during trading hours: 2-10 Description of duties: RJFS Raymond James rep

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-07-01
S63 Uniform Securities Agent State Law Examination 2000-08-10
  • S65 Uniform Investment Adviser Law Examination
    2008-07-01
  • S63 Uniform Securities Agent State Law Examination
    2000-08-10
Designations
Other Names
  • Andrew T Thompson
  • Taylor Thompson

View on SEC IAPD

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