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James William Thompson

Stephens

Charlotte, NC

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Current Employers
Stephens

111 Center St, Little Rock, AR 72201 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2026-02-23
TX RA APPROVED 2026-02-23
  • NC RA
    APPROVED
    Since 2026-02-23
  • TX RA
    APPROVED
    Since 2026-02-23

Branch Locations

4521 Sharon Road, Charlotte, NC 28211 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Elevation Llc Charlotte NC 05/2016 02/2026
Prodeo Asset Management, Inc. Charlotte NC 04/2017 10/2023
Sallux Investments, Llc Charlotte NC 09/2023 Present
Stephens Inc. Charlotte NC 02/2026 Present
  • 05/2016 → 02/2026
    Elevation Llc
    Charlotte, NC
  • 04/2017 → 10/2023
    Prodeo Asset Management, Inc.
    Charlotte, NC
  • 09/2023 → Present
    Sallux Investments, Llc
    Charlotte, NC
  • 02/2026 → Present
    Stephens Inc.
    Charlotte, NC
Previous Registrations
Other Businesses

He serves as Advisor to Sallux Investments LLC since November 2023

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-02-14
S65 Uniform Investment Adviser Law Examination 1996-07-24
S63 Uniform Securities Agent State Law Examination 1995-06-01
  • S66 Uniform Combined State Law Examination
    2023-02-14
  • S65 Uniform Investment Adviser Law Examination
    1996-07-24
  • S63 Uniform Securities Agent State Law Examination
    1995-06-01
Designations
Other Names
  • James Willaim Thompson
  • Bill Thompson

View on SEC IAPD

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