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Mark Thompson

Spc
48 Years of Experience
Greenwood Village, CO
8 DisclosuresBrokerSells Insurance
View SEC Summary
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Mark Thompson is a registered investment advisor at Spc, based in Greenwood Village, CO, with 48 years of industry experience. Mark is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 30,916 clients with $6.1B in assets under management.

Spc
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
474 advisors
Number of Clients
30,916 clients
Average Client Portfolio
$197K average
Assets Under Management
$6.1B

Fee Structure

Minimum Investment:$5.5K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum annual advisory fee is 2.50%. Advisors set their own rates for each account up to this maximum limit. A 0.15% program fee is included within the total fee.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

5299 DTC Blvd, Suite 530, Greenwood Village, CO, 80111

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History

Regulatory History (8)
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.
Customer Dispute
February 2013
Denied
Customer Dispute
February 2005
Denied
Customer Dispute
August 2001
Closed-No Action
Customer Dispute
December 2000
Settled
Customer Dispute
July 2000
Withdrawn
Customer Dispute
October 1998
Closed-No Action
Customer Dispute
March 1997
Settled
Regulatory
February 1983
Final
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Mark owns Wealth Partners, Inc. for his financial services practice and Wealth Partners Insurance Inc. for selling non-variable life insurance. Selling insurance takes about a quarter of Mark's time.

Employment History
Current Registrations
Spc
May 2004 - Present · 22 yrs 5 mos
Parkland Securities, LLCBroker
January 2004 - Present · 22 yrs 9 mos
Previous Registrations
Presidential Brokerage, INC.Broker
December 2001 - December 2003 · 2 yrs
First Union Securities, INC.Broker
August 2000 - December 2001 · 1 yr 4 mos
Kirkpatrick, Pettis, Smith, Polian INC.Broker
September 1997 - August 2000 · 2 yrs 11 mos
Raymond James & Associates, INC.Broker
February 1994 - September 1997 · 3 yrs 7 mos
Comprehensive Capital CORP.Broker
September 1991 - February 1994 · 2 yrs 5 mos
G. K. Scott & CO., INC.Broker
January 1991 - September 1991 · 8 mos
Vanguard CapitalBroker
August 1989 - January 1991 · 1 yr 5 mos
Huberman Securities CORP.Broker
October 1987 - July 1989 · 1 yr 9 mos
Pittock Financial CorporationBroker
January 1985 - September 1987 · 2 yrs 8 mos
The Stuart-James Company, INC.Broker
April 1984 - December 1984 · 8 mos
First Financial Securities, INC.Broker
July 1977 - April 1984 · 6 yrs 9 mos
State Registrations16 states
CACOFLMNMONCOHORPASCTXUTVAWAWIWY
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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