Herman Thomas Thompson

Current Employers

Employment History

• 01/2004 → 11/2018
  John Hancock Mid-Atlantic Agency
  Atlanta, GA
• 01/2004 → 11/2018
  Sii
  Alpharetta, GA
• 11/2018 → Present
  Osaic Wealth, Inc.
  Alpharetta, GA

Previous Registrations

• 2009-03-03 → 2018-11-02
  Signator Investors, Inc.
  Alpharetta, GA
  Atlanta, GA

Other Businesses

1. INNOVATIVE FINANCIAL GROUP - DBA AND INSURANCE POSITION: broker NATURE: Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2010 ADDRESS: 3520 Old Milton Pkwy, Alpharetta GA 30005, United States DESCRIPTION: Insurance Brokerage 2. INSURANCE BROKER-LIFE-ANNUITIES POSITION: agent NATURE: insurance brokerage INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 01/01/2004 ADDRESS: 400 Perimeter Center Terr, Ste 50, Atlanta GA 30346, United States DESCRIPTION: insurance broker 3. RENTAL PROPERTY OWNER AT WALTERS PROPERTIES POSITION: owner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2016 ADDRESS: 10235 Groomsbridge Rd, Alpharetta GA 30005, United States DESCRIPTION: I am a shareholder. 4. S-CORP FOR LENDING PURPOSES PR 1681 POSITION: Owner NATURE: S-Corporation INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2018 ADDRESS: 1011 Slash Pine Way, Lawrenceville GA 30043, United States DESCRIPTION: I use this S-corp to make a private loan to non-client friend. 5. THE FRAZER CENTER POSITION: Board of Directors Member NATURE: 501(c)3 INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2024 ADDRESS: 1815 S. Ponce de Leon Ave., Atlanta GA 30307, United States DESCRIPTION: I have been asked to serve on the Board of Directors. As a board member I will donate time to the charity's events including annual fundraising dinner and workdays at the facilities. The Board of Directors is also charged with overseeing the actions of the CEO and staff to make sure the Frazer Center is allocating its resources prudently to fulfill its mission of fostering the kinds of learning and social opportunities that build sustaining friendships and recognize the gifts and talents of every individual.?

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-02-13
• S63 Uniform Securities Agent State Law Examination
  2004-11-29

Designations

Other Names

• Tommy Thompson
• Herman Thomas Thompson Jr