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Singer Island, FL • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-03-29 |
| MA | RA | APPROVED | 2013-01-02 |
| RI | RA | APPROVED | 2005-06-14 |
Branch Locations
245 Waterman Street Suite 301, Providence, RI 02906 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Providence | RI | 07/2013 | Present |
| J.W. Thompson Investments | Providence | RI | 07/2013 | Present |
(1) 07/11/2013: J.W. Thompson Investments - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - 100% Time Spent (2) 08/30/2016: J.W. Thompson Investments - Registered Investment Advisor Hybrid - DBA: (HYBRID) J.W. Thompson Investments - Investment Related - At Reported Business Location(s) - 90% Time Spent - I provide investment advisory services through J W Thompson Investments LLC, an independent investment advisor firm. I started this business activity in August 2002. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm¿s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-03-28 |
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