Leslie Diane Thompson

Current Employers

Employment History

• 10/2010 → 12/2022
  Spectrum Management Group, Inc.
  Indianapolis, IN
• 12/2020 → 12/2022
  Sbo Management, Llc
  Indianapolis, IN
• 01/2023 → Present
  Spectrum Wealth Counsel, Llc
  Indianapolis, IN
• 06/2025 → Present
  Focus Partners Wealth, Llc
  Boston, MA

Previous Registrations

• 2023-01-03 → 2025-06-30
  Spectrum Wealth Management
  Indianapolis, IN
• 2011-09-01 → 2023-03-02
  Spectrum Wealth Management
  Indianapolis, IN
• 2021-07-29 → 2023-01-24
  Sbo Management, Llc.
  Indianapolis, IN
• 2005-03-08 → 2010-10-25
  Raymond James & Associates, Inc.
  Carmel, IN
  Indianapolis, IN
  Carmel, IN

Other Businesses

PHOENIX PARTNERS, LLC, 600 E. 96TH STREET, SUITE 130, INDIANAPOLIS, IN 46240. NATURE OF BUSINESS: Ms. Thompson is a co-member of Phoenix Partners, LLC ("Phoenix") with Mr. Phillips. The LLC was established solely as a vehicle entity for investment purposes between the two partners of SWM. No clients are solicited or involved with Phoenix Partners, LLC. Phoenix Partners, LLC is also a client of SWM. As such, the partners, Ms. Thompson and Mr. Phillps may invest in the same securities recommended to clients of SWM. POSITION: MEMBER. START DATE: DECEMBER 2010. HOURS PER MONTH: LESS THAN 3. HOURS PER DAY DURING TRADING HOURS: LESS THAN 1. The LLC was formed solely as a vehicle for investment purposes. Beginning in January 2023, Ms. Thompson began to manage SWM under a management agreement between Slainté, LLC, and SWM. Slainté, LLC is a non-investment-related company. Under Slainté, LLC, she serves as one of two leaders and officers of SWM and is responsible for the management, supervision, and oversight of SWM. Ms. Thompson and Mr. Phillips are the sole members of Slainté, LLC. As such, Ms. Thompson will spend approximately forty or more hours per month as the leader and officer of SWM. Ms.Thompson also controls Spectrum Private Trust ("SPT"). SPT refers advisory clients to National Advisors Trust Company, FSB ("NATC"). NATC is a federally chartered trust company for the provision of trust and asset custody services. Ms. Thompson is also a shareholder of NATC stock. No member of management owns a controlling ownership of any NATC stock or sits on the board of NATC. SWM refers clients to NATC for trust and custody services and has an agreement with NATC to act as a trust representative office of NATC. This relationship imposes inherent conflicts of interest in that, Ms. Thompson, through SWM, is compensated for services provided as a trust representative office. Clients are advised that no client is ever obligated to utilize the services of NATC as trustee or custodian.

Exams

• S66 Uniform Combined State Law Examination
  2005-03-07
• S63 Uniform Securities Agent State Law Examination
  2002-01-22
• S65 Uniform Investment Adviser Law Examination
  1999-02-26

Designations