Mark Thompson
Mark Thompson is a registered investment advisor at Spc, based in Greenwood Village, CO, with 48 years of industry experience. Mark operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 30,881 clients with $5.7B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
SPC offers investment management through the SIGMA Managed Account program. Clients pay an annual account management fee based on a percentage of their account assets. The fee includes a program fee and the IAR's compensation. For example, if your account AUM is $1,500,000, the first $500,000 is billed at 2.50%, the next $250,000 at 1.75%, the next $250,000 at 1.50%, and the remaining $500,000 at 1.25%. The maximum annual advisory fee is 2.5%. The program fee is 0.15% on all assets. There is a $30 minimum annual program fee.
SPC also offers direct-at-fund programs where clients pay an annual asset-based investment management fee of 0.5%.
Location
6312 S. Fiddlers Green Circle, Suite 300E, Greenwood Village, CO, 80111
Get directionsHistory
Regulatory History (8)
Customer Dispute
February 2013Customer Dispute
February 2005Customer Dispute
August 2001Customer Dispute
December 2000Customer Dispute
July 2000Customer Dispute
October 1998Customer Dispute
March 1997Regulatory
February 1983Other 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
Parkland Securities, LLCBroker
Previous Registrations
Presidential Brokerage, INC.Broker
First Union Securities, INC.Broker
Kirkpatrick, Pettis, Smith, Polian INC.Broker
Raymond James & Associates, INC.Broker
Comprehensive Capital CORP.Broker
G. K. Scott & CO., INC.Broker
Vanguard CapitalBroker
Huberman Securities CORP.Broker
Pittock Financial CorporationBroker
The Stuart-James Company, INC.Broker
First Financial Securities, 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.