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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

Robert John Thompson

Advisor at PFG ADVISORS

Austin, TX

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Search this name across graphsid dfx:ria:6b1144dc-9ea8-3d92-ec40-67fdb623106a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Aug 11, 2003 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: PFG ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 2, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Apr 2, 1997
First registration: Aug 11, 2003
Dual registered: yes, broker-dealer
Other names: BOB THOMPSON|ROBERT JOHN THOMPSON|ROBERT JOHN THOMPSON|Robert Thompson
IAPD individual key: 2711758

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
PFG ADVISORS	Independent wealth	Apr 5, 2021	n/a	yes	Austin, TX	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Jun 11, 2025	Jul 28, 2025	no	AUSTIN, TX\|PHOENIX, AZ\|Round Rock, TX\|Austin, TX	Previous registration
BRIGHTON JONES LLC	Independent wealth	Jun 27, 2019	Oct 1, 2019	no	SEATTLE, WA\|Austin, TX	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 4, 2019	May 15, 2019	no	AUSTIN, TX	Previous registration
DWS INVESTMENT MANAGEMENT AMERICAS, INC.	Other adviser	Aug 11, 2003	Mar 3, 2004	no	CHICAGO, IL	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
OSAIC WEALTH, INC.	n/a	Jul 28, 2025	n/a	n/a	Departure no registered destination	Departure
BRIGHTON JONES LLC	PFG ADVISORS	Oct 1, 2019	Apr 5, 2021	552	Firm change after gap	RIA to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	BRIGHTON JONES LLC	May 15, 2019	Jun 27, 2019	43	Firm change	Wirehouse to RIA
DWS INVESTMENT MANAGEMENT AMERICAS, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 3, 2004	Jan 4, 2019	5,420	Firm change after gap	Other

Relationships

Registered with (5)

→ PFG ADVISORSRegistered adviserregistration: current employment
Apr 5, 2021 to presentfactForm ADV
→ OSAIC WEALTH, INC.Registered adviserregistration: previous registration
Jun 11, 2025 to Jul 28, 2025factForm ADV
→ BRIGHTON JONES LLCRegistered adviserregistration: previous registration
Jun 27, 2019 to Oct 1, 2019factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 4, 2019 to May 15, 2019factForm ADV
→ DWS INVESTMENT MANAGEMENT AMERICAS, INC.Registered adviserregistration: previous registration
Aug 11, 2003 to Mar 3, 2004factForm ADV

Dated events

Occurred
Jul 28, 2025
Advisor departed, no destination yet
Robert John Thompson no longer registered at Osaic Wealth, Inc.; no later IA registration on IAPD
Form ADVobserved 4 days ago