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RIA / WealthAdvisorChartered Financial Consultant28 years in industry

THOMAS JOSEPH THOMPSON

Advisor at THOMPSON FINANCIAL TRANSITIONS INC.

WHITE BEAR LAKE, MN

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Search this name across graphsid dfx:ria:421732e7-3fed-e89f-48a9-ce228a006c04

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Sep 15, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: THOMPSON FINANCIAL TRANSITIONS INC.
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 17, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Designations: Chartered Financial Consultant
Exams: S63|S65
First exam: Oct 17, 1997
First registration: Sep 15, 2008
Dual registered: no
Other names: THOMAS JOSEPH THOMPSON|THOMAS JOSEPH III THOMPSON|TREY THOMPSON|THOMAS THOMPSON
IAPD individual key: 2687240

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
THOMPSON FINANCIAL TRANSITIONS INC.	State registered	Dec 13, 2022	n/a	yes	WHITE BEAR LAKE, MN	Current employment
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Oct 28, 2014	Dec 13, 2022	no	ESTERO, FL\|WHITE BEAR LAKE, MN	Previous registration
VOYA FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Aug 24, 2010	Oct 21, 2014	no	ST PAUL, MN\|ST PAUL, MN\|MINNEAPOLIS, MN\|ST PAUL, MN	Previous registration
SECURIAN FINANCIAL SERVICES, INC.	Former SEC adviser	Sep 15, 2008	Oct 6, 2008	no	MINNEAPOLIS, MN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SAGEPOINT FINANCIAL, INC.	THOMPSON FINANCIAL TRANSITIONS INC.	Dec 13, 2022	Dec 13, 2022	0	Firm change	Ibd to state RIA
VOYA FINANCIAL ADVISORS, INC.	SAGEPOINT FINANCIAL, INC.	Oct 21, 2014	Oct 28, 2014	7	Firm change	Other
SECURIAN FINANCIAL SERVICES, INC.	VOYA FINANCIAL ADVISORS, INC.	Oct 6, 2008	Aug 24, 2010	687	Firm change after gap	Other

Relationships

Registered with (4)

→ THOMPSON FINANCIAL TRANSITIONS INC.Registered adviserregistration: current employment
Dec 13, 2022 to presentfactForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Oct 28, 2014 to Dec 13, 2022factForm ADV
→ VOYA FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Aug 24, 2010 to Oct 21, 2014factForm ADV
→ SECURIAN FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Sep 15, 2008 to Oct 6, 2008factForm ADV

Dated events

Occurred
Dec 13, 2022
Advisor changed firm
Thomas Joseph Thompson left Sagepoint Financial, Inc. for Thompson Financial Transitions Inc. (registered 2022-12-13)
Form ADVobserved 4 days ago