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David Thompson
28 Years of Experience
Ashland, KY
2 DisclosuresBroker
David Thompson is a registered investment advisor at Raymond James & Associates, INC., based in Ashland, KY, with 28 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
1600 Carter Avenue, Ashland, KY, 41101
Get directionsHistory
Regulatory History (2)
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Customer Dispute
October 2010Denied
Customer Dispute
December 2006Denied
Other Business Activities
David is a partner in Lightning Properties since 2006. He spends minimal time on this real estate business.
Employment History
Current Registrations
Raymond James & Associates, INC.
March 2007 - Present · 19 yrs 2 mos
Raymond James & Associates, INC.Broker
March 2007 - Present · 19 yrs 2 mos
Previous Registrations
Merrill Lynch Pierce Fenner & Smith INC.
March 2001 - March 2007 · 6 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 1998 - March 2007 · 8 yrs 9 mos
J.C. Bradford & CO.Broker
September 1997 - May 1998 · 8 mos
State Registrations22 states
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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.