Charles David Tompkins

Current Employers

Employment History

• 04/2005 → 11/2020
  Kms Financial Services, Inc
  Seattle, WA
• 01/2008 → Present
  Tompkins Wealth Management, Inc.
  Bend, OR
• 11/2020 → 06/2024
  Securities America, Inc.
  Bend, OR
• 11/2020 → 06/2024
  Securities America Advisors, Inc.
  Bend, OR
• 06/2024 → Present
  Osaic Wealth, Inc.
  Bend, OR

Previous Registrations

• 2020-11-06 → 2024-06-14
  Securities America Advisors, Inc.
  Seattle, WA
  Bend, OR
• 2005-06-24 → 2020-11-06
  Kms Financial Services, Inc.
  Seattle, WA
  La Jolla, CA
  Seattle, WA
  Seattle, WA
  Bend, OR
  Seattle, WA

Other Businesses

1) TOMPKINS WEALTH MANAGEMENT POSITION: President NATURE: Tompkins Wealth Management, Inc. is the S Corp under which I operate my securities and advisory business. I pay all business expenses from the S Corp, I pay myself a W2 wage and my assistant, Lex Smith as well, from this S corp. I created the S Corp in 2005 when I began my affiliation with KMS from Edward Jones. I am President of Tompkins Wealth Management, Inc. There are no other owners or officers. INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 160 START DATE: 07/01/2005 ADDRESS: 115 NW Oregon Ave., Suite 21, Bend OR 97703, United States DESCRIPTION: I provide investment advisory and securities related services to my clients using this S Corp and the DBA of Tompkins Wealth Management. 2) TOMPKINS WEALTH MANAGEMENT POSITION: Insurance sales NATURE: Insurance sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 05/01/2005 ADDRESS: 115 NW Oregon Ave., Suite 21, Bend OR 97703, United States DESCRIPTION: Occasional sale of a VUL, equity index or fixed annuity product using Highland Capital primarily. Have used The Annuity Source in the past for products such as Forethought LTC hybrid annuity. 3) TOMPKINS WEALTH MANAGEMENT POSITION: FA NATURE: Advisory-Securities America Advisory. I will be providing financial advisory services to clients through Securities America Advisors. INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 160 START DATE: 11/06/2020 ADDRESS: 115 NW Oregon Ave., Suite 21, Bend OR 97703, United States DESCRIPTION: I will manage assets on both a discretionary and non-discretionary basis for clients. I will solicit new clients through various forms of marketing. I will place assets with 3rd party managers and service clients with cash flow, retirement planning and estate planning services in conjunction with this OBA. 4) HIGHLANDER GRAVEL ADVENTURES POSITION: Owner NATURE: Sole proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2025 ADDRESS: 115 NW Oregon Ave, Bend OR 97701, United States DESCRIPTION: Organize a bicycle trip in Europe for 2026. I will plan the details of a cycling trip and solicit a dozen participants to join me and share in the costs. 5) THE ANNUITY SOURCE POSITION: agent NATURE: I occasionally reach out to this annuity shop to obtain FIA quotes or SPIA quotes or sometimes life insurance or LTC quotes. I don't write much business with them currently, but have in the past. I also intend to use Highland brokerage for such quotes and writing of insurance business. INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 08/16/2022 ADDRESS: 1140 SE 8th St #430, Bellevue WA 98004, United States DESCRIPTION: As an independent life insurance agent, I need support with illustrations and product descriptions for clients. Annuity Source provides quick service, though I often end up not writing much business with them.

Exams

• S66 Uniform Combined State Law Examination
  2005-06-23
• S63 Uniform Securities Agent State Law Examination
  1999-12-29

Designations