James Thompson is a CFA-designated registered investment advisor at Stephens, based in Charlotte, NC, with 15 years of industry experience. Their practice areas include Estate Planning, Investment Management, Retirement Planning, Tax Planning. Their firm serves 21,784 clients with $16B in assets under management.
Compensation
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Fee Structure
Stephens Inc. offers several investment management programs with fees based on a percentage of assets managed. Fees are negotiable and vary from client to client. Fees for some programs are charged quarterly in arrears, while others are charged monthly in advance. Clients may also incur markups or markdowns on fixed income transactions. Some programs may also have performance-based fees.
Location
4521 Sharon Road, Charlotte, NC, 28211
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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James is a Sr. Managing Director of Elevation LLC, a FINRA-registered broker dealer, and an Advisor to Sallux Investments LLC since November 2023. He also serves on the Board of Governors of Charlotte Country Club.
Employment History
Current Registrations
Stephens
StephensBroker
Elevation, LLCBroker
Previous Registrations
Sallux Investments LLC
Prodeo Asset Management, LLP
James M. Myers and CO., INC.Broker
State Registrations4 states
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