William Thompson is a registered investment advisor at LPL Financial LLC, based in Omaha, NE, with 25 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
444 Regency Parkway Dr, Ste 102, Omaha, NE, 68114
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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.
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William is involved with Caprone LLC and Navist Group LLC as business entities for tax/investment purposes, dedicating minimal time. He also uses The Navist Group as a DBA for his LPL business.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Waddell & ReedBroker
Waddell & Reed
Fbl Marketing Services, LLCBroker
Deutsche Bank Securities INC.
Deutsche Bank Securities INC.Broker
RBC Dain Rauscher INC.Broker
UBS Financial Services INC.Broker
Chase Securities 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.