Austin Seifert

Thompson Wealth Management

16430 N Scottsdale Rd
Suite 150
Scottsdale, AZ 85254

I Am Licensed and Registered as Follows:
1. I am not an Investment Advisor Representative with Harbour Investments.
2. Certified Financial Planner (CFP)
3. Certified Private Wealth Advisor (CPWA)
4. Retirement Management Advisor (RMA)
Services I Provide:
1. I act as a solicitor of an investment manager(s) to manage client assets. I receive a disclosed percent of assets under management as compensation. The investment manager also charges a management fee. Total fees are disclosed in the Harbour Investments Third Party Money Managers Program Services Agreement.
2. I provide portfolio management services and receive a disclosed percent of assets under management as compensation. Specific services provided are outlined in Harbour Investments Asset Management Services Agreement.
3. I sell insurance or investment products that have a stated commission paid to me.
4. As an investment advisor, I act in the best interest of my clients and do not place my own interests ahead of my clients.
5. I provide non-portfolio management services and assess a flat or hourly fee at a disclosed dollar amount as compensation. Specific services provided are outlined in the Harbour Investments Financial Planning & Investment Consultation Services Agreement.
6. I use third party financial tools for portfolio analysis and to support various planning needs.