Norval Thompson
Norval Thompson is a registered investment advisor at St. Michaels Asset Management, based in St.Michaels, MD, with 38 years of industry experience. Norval operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Socially Responsible Investing. Their firm serves 60 clients with $3.6M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $5.0M | 2.00% |
| $5.0M - $25.0M | 1.50% |
| $25.0M - $100.0M | 1.00% |
| $100M+ | 1.00% |
Fees are non-negotiable.
Fee Estimator
Location
953 S. Talbot St., Po Box 1136, St.Michaels, MD, 21663
Get directionsHistory
Regulatory History (3)
Judgment / Lien
May 2013Judgment / Lien
October 2012Customer Dispute
April 2001Other Business Activities
Norval is the CEO/Owner of N.E.Thompson & Co. since 1997, offering investment advisory and securities services, dedicating about a quarter of his time in conjunction with his securities business. He is also registered with Quoin Capital, but not actively engaged in investment trading with them.
Employment History
Current Registrations
St. Michaels Asset Management
Previous Registrations
Quoin Capital LLCBroker
Capital Portfolio Management, INC.Broker
Round Hill Securities, INC.Broker
First Security Investments, INC.Broker
Wheat, First Securities, INC.Broker
A. G. Edwards & Sons, INC.Broker
Royal Alliance Associates, INC.Broker
Creative Investor Services, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations4 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.