James William Thompson
Investment adviser representative at Stephens
10 yearsExperience
2 statesRegistered in
CFADesignation
$18BFirm assets
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeCommissionsPerformance-based
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
10 years in the industry.
- Stephens Inc.Feb 2026 to now
- Sallux Investments, LLCSep 2023 to now
- Prodeo Asset Management, Inc.Apr 2017 to Oct 2023
- Elevation LLCMay 2016 to Feb 2026
Designations
- CFA
Exams passed
- Series 63 · Uniform Securities Agent State Law1995
- Series 65 · Uniform Investment Adviser Law1996
- Series 66 · Uniform Combined State Law2023
State registrations
Registered as an investment adviser representative in 2 states (NC, TX).
Stephens
Legal name: Stephens Inc.
$18BAssets managed
21,991Clients
242Advisers
46 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 2598728
- Firm CRD
- 3496