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Jon Thompson

LPL Financial LLC
31 Years of Experience
League City, TX
1 DisclosureBroker
View SEC Summary
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Jon Thompson is a registered investment advisor at LPL Financial LLC, based in League City, TX, with 31 years of industry experience. Jon is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1692 E League City Pkwy, League City, TX, 77573

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History

Regulatory History (1)
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
September 2019
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Jon owns rental real estate through Primal Properties, LLC and another property, dedicating minimal time to these activities. He also operates several DBAs for his LPL business, spending about a quarter of his time on PenFed Wealth Management and minimal time on the others.

Employment History
Current Registrations
LPL Financial LLCBroker
May 2022 - Present · 4 yrs 5 mos
LPL Financial LLC
May 2022 - Present · 4 yrs 5 mos
Previous Registrations
CUNA Brokerage Services, INC.
July 2014 - May 2022 · 7 yrs 10 mos
CUNA Brokerage Services, INC.Broker
July 2014 - May 2022 · 7 yrs 10 mos
Princor Financial Services CorporationBroker
December 2010 - July 2014 · 3 yrs 7 mos
Next Financial Group, INC.Broker
November 2005 - December 2010 · 5 yrs 1 mo
Linsco/private Ledger CORP.
July 2002 - December 2005 · 3 yrs 5 mos
Linsco/private Ledger CORP.Broker
September 2000 - December 2005 · 5 yrs 3 mos
Cadaret, Grant & CO., INC.Broker
September 1998 - September 2000 · 2 yrs
MML Investors Services, INC.Broker
March 1996 - September 1998 · 2 yrs 6 mos
G. R. Phelps & CO., INC.Broker
November 1994 - March 1996 · 1 yr 4 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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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