Stephen Thompson, financial advisor Phoenix AZ
96 score

Stephen Thompson

CRD Number: 4522427
Current Firm: Keatsconnelly

Stephen Thompson (CRD# 4522427) is an Investment Advisor Representative working at Keatsconnelly in Phoenix, AZ and has over 14 years of experience in the finance industry. Stephen Thompson has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Keats, Connelly And Associates, LLC Phoenix, AZ Mar 2011 - Current 5
Usaa Financial Planning Services Phoenix, AZ Nov 2008 - Feb 2011 2
Usaa Financial Advisors, Inc. Phoenix, AZ Oct 2007 - Feb 2011 3
Usaa Life Insurance Company Phoenix, AZ Oct 2007 - Nov 2008 1
Usaa Investment Management Company Phoenix, AZ Oct 2007 - Nov 2008 1
Rbc Dain Rauscher Inc. Chevy Chase, MD Sep 2005 - Oct 2007 2
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jul 2002
Contact Info for Stephen H. Thompson
Phone Number: 602-955-5007
Registered State(s):
  • AZ
By the Numbers
  • Total Assets Under Management
    296
    MILLIONS
  • Total Number of Accounts
    415
    ACCOUNTS
  • Average Account Value
    $712,159
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
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
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AZ, CA, FL, NY, TX, WA

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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