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James Thompson

Wells Fargo Advisors
35 Years of Experience
Boston, MA
2 DisclosuresBroker
View SEC Summary
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James Thompson is a registered investment advisor at Wells Fargo Advisors, based in Boston, MA, with 35 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Retirement Planning. Their firm serves 466,575 clients with $250B in assets under management.

Wells Fargo Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
4242 advisors
IM Fee
Planning only
Assets Under Management
$252.3B

Fee Structure

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

View Full SEC Brochure

Location

326 Commercial Street, Suite A, Boston, MA, 02109

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2016
Denied
Customer Dispute
May 2007
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

James owns commercial rental property in Boston, MA since 2013, dedicating minimal time to it. He also owns Wells Fargo Financial Network since 2004, spending about a quarter of his time on it.

Employment History
Current Registrations
Wells Fargo Advisors
September 2010 - Present · 16 yrs 1 mo
Wells Fargo Advisors Financial Network, LLCBroker
July 2004 - Present · 22 yrs 3 mos
Previous Registrations
Wells Fargo Advisors Financial Network, LLC
August 2004 - December 2009 · 5 yrs 4 mos
Citigroup Global Markets INC.Broker
January 2001 - July 2004 · 3 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1998 - January 2001 · 2 yrs 2 mos
Gruntal & CO., L.L.C.Broker
May 1991 - November 1998 · 7 yrs 6 mos
Lehman Brothers INC.Broker
January 1991 - May 1991 · 4 mos
The Stuart-James Company, IncorporatedBroker
March 1990 - April 1990 · 1 mo
State Registrations33 states
AZCACOCTDCFLIAIDILINKYLAMAMDMEMIMONCNENHNJNYOHOKORPARISCTNTXVAWAWI
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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