John Thompson
John Thompson is a registered investment advisor at LPL Financial LLC, based in Providence, RI, with 40 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
245 Waterman Street, Suite 301, Providence, RI, 02906
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
John operates JW Thompson Investments LLC as a DBA for his LPL business and as a registered investment advisor, dedicating about half of his time to providing investment advisory services. He also engages in non-variable insurance activities, spending a few hours per week on this.
Employment History
Current Registrations
LPL Financial LLCBroker
Jw Thompson Investments LLC
Previous Registrations
LPL Financial LLC
Cantella & CO., INC.
Cantella & CO., INC.Broker
Painewebber IncorporatedBroker
Shearson Lehman Hutton INC.Broker
State Registrations12 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.