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Arthur Thompson

Wells Fargo Advisors
49 Years of Experience
New York, NY
7 DisclosuresBroker
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Arthur Thompson is a registered investment advisor at Wells Fargo Advisors, based in New York, NY, with 49 years of industry experience. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,327,695 clients with $610B in assets under management.

Wells Fargo Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14703 advisors
IM Fee
Planning only
Assets Under Management
$606.0B

Fee Structure

Minimum Investment:$250K
  • Cash Flow Analysis — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
  • Education Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
  • Retirement Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
  • Risk Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
  • Wealth Planning — Up to $1,000 for clients with a net worth of $250,000 to $500,000; up to $2,500 for clients with a net worth over $500,000 to $1,000,000; up to $5,000 for clients with a net worth over $1,000,000.
  • Divorce Planning — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
  • Special Needs Analysis — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
  • Sports & Entertainment — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.
  • Business Owner Planning — Up to $1,500 for clients with a net worth of $250,000 to $500,000; up to $3,750 for clients with a net worth over $500,000 to $1,000,000; up to $7,500 for clients with a net worth over $1,000,000.

The total fee per engagement can range up to $5,000 for clients with a net worth of $250,000 to $500,000, up to $12,500 for clients with a net worth over $500,000 to $1,000,000, and up to $25,000 for clients with a net worth over $1,000,000. Fees are subject to negotiation and may vary.

One-Time Plan:Up to $25,000
View Full SEC Brochure

Location

1 Penn Plz Fl 27, New York, NY, 10119

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History

Regulatory History (7)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Judgment / Lien
April 2013
Judgment / Lien
December 2011
Customer Dispute
March 2010
Denied
Judgment / Lien
November 2008
Judgment / Lien
March 2006
Customer Dispute
January 1989
Award / Judgment
Customer Dispute
July 1988
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Wells Fargo Advisors
July 2021 - Present · 4 yrs 10 mos
Wells Fargo Clearing Services, LLCBroker
November 2013 - Present · 12 yrs 6 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - November 2013 · 4 yrs 5 mos
Citigroup Global Markets INC.Broker
October 1999 - June 2009 · 9 yrs 8 mos
Oppenheimer & CO., INC.Broker
February 1994 - April 1995 · 1 yr 2 mos
Cibc World MarketsBroker
November 1993 - November 1999 · 6 yrs
Bear, Stearns & CO. INC.Broker
August 1991 - October 1993 · 2 yrs 2 mos
Morgan Stanley & CO., IncorporatedBroker
February 1980 - August 1991 · 11 yrs 6 mos
Morgan Stanley & CO., IncorporatedBroker
October 1976 - February 1980 · 3 yrs 4 mos
State Registrations23 states
CACOCTDCDEFLGAILLAMAMDMONCNJNMNVNYOHPARITXVAVT
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.
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