Carl Thompson, financial advisor Houston TX

Carl Thompson

CRD Number: 1373253
Current Firm: Independent Advisor Alliance, LLC

Carl Thompson (CRD# 1373253) is an Investment Advisor Representative working at Independent Advisor Alliance, LLC in Houston, TX and has over 38 years of experience in the finance industry.

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Company Name Location Dates Years
Independent Advisor Alliance, LLC Houston, TX Nov 2018 - Current 5
Lpl Financial, LLC Houston, TX Aug 2011 - Current 12
Independant Financial Partners Seabrook, TX Jun 2012 - Nov 2018 6
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 1985
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Carl L. Thompson
Phone Number: 888.430.1555
Registered State(s):
  • LA
  • TX
By the Numbers
  • Total Assets Under Management
    12,827
    MILLIONS
  • Total Number of Accounts
    52,309
    ACCOUNTS
  • Average Account Value
    $245,214
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV, WY

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