Riley Thompson
Riley Thompson is a registered investment advisor at Gwn Securities INC., based in Santa Cruz, CA, with 1 years of industry experience. Riley operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management. Their firm serves 37,091 clients with $3.7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
GWN Securities offers several managed account programs with fees based on a percentage of your portfolio's value. These fees are typically billed quarterly. The specific fees vary depending on the program you choose and the amount you invest. Some programs have minimum account sizes and platform fees. GWN's fees do not include brokerage and custodial services. GWN may also recommend third-party money managers, which will result in additional fees.
Location
Santa Cruz, CA
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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
Riley works as a financial representative for LA Pension Planners, spending full-time hours on securities business and financial services. Riley also dedicates about a quarter of their time to life and health insurance sales.
Employment History
Current Registrations
Gwn Securities INC.
Gwn Securities INC.
Gwn Securities INC.Broker
State Registrations2 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.