Neal Thompson
Neal Thompson is a registered investment advisor at Harbour Investments, INC., based in Scottsdale, AZ, with 19 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 22,917 clients with $7.6B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Harbour Investments offers investment management through wrap-fee programs where fees are calculated as a percentage of the value of your portfolio, up to a maximum of 2.0%. The specific fee is negotiated with your advisor and subject to Harbour's approval. Fees may be waived for periods after a commission is generated. Accounts under $25,000 may have higher service fees. Harbour also offers a directly-managed held-away program where fees are assessed and billed quarterly.
Location
16430 N Scottsdale Rd, Suite 150, Scottsdale, AZ, 85254
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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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Neal is the President and an independent insurance agent for various independent insurance companies through Thompson Wealth Management, spending a few hours per week, including time trading equity indexed annuities. He also works as a benefits counselor for Federal Retirement Services, dedicating minimal time, and is a real estate realtor with HomeSmart, spending minimal time. Finally, Neal is a managing partner at Rosewood Concepts LLC, a restaurant holding company, dedicating about 10-20% of his time.
Employment History
Current Registrations
Ep Wealth Advisors
Harbour Investments, INC.
Harbour Investments, INC.Broker
Previous Registrations
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
Ing Financial Partners, INC
Ing Financial Partners, INC.Broker
State Registrations17 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.