Thompson Wealth Management
16430 N Scottsdale Rd
Suite 150
Scottsdale, AZ 85254
Suite 150
Scottsdale, AZ 85254
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I Am Licensed and Registered as Follows:
- Investment Advisor Representative under Harbour Investments, Inc. Registered Investment Advisor. An Investment Advisor Representative (IAR) refers to licensed and authorized personnel who work for investment advisory companies. The primary responsibility of an IAR is to provide investment-related advice as a financial advisor or planner.
- Certified Financial Planner (CFP)
- Certified Private Wealth Advisor (CPWA)
- Retirement Management Advisor (RMA)
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Services I Provide:
- 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.
- 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.
- I sell insurance or investment products that have a stated commission paid to me.
- As an investment advisor, I act in the best interest of my clients and do not place my own interests ahead of my clients.
- 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.
- I use third party financial tools for portfolio analysis and to support various planning needs.
- Under Reg BI, I act in the best interest of my clients and do not place my own interests ahead of my clients.
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Personal Conflict of Interest:
- Whether via an investment product, insurance product or advisory platform, I do receive commissions or fees on the product and services that I recommend for you. You are under no obligation to purchase these products or services. All costs will be disclosed in writing at the time of purchase.