Unclaimed Profile

James Dale Thompson

CLIENT ONE SECURITIES LLC·LEAWOOD, Kansas

SIE, Series 6, Series 7, Series 7TO, Series 24, Series 26, Series 63, Series 6616 years registeredCLIENT ONE SECURITIES LLC

11460 TOMAHAWK CREEK PARKWAY, LEAWOOD, KS 66211CRD# 3081023Firm CRD# 152974

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Dale Thompson · LEAWOOD, KS

Registration

CRD #3081023 · CLIENT ONE SECURITIES LLC · 16 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: CLIENT ONE SECURITIES LLC

STRATEGIC ADVISERS LLC

Mar 2025 – Jan 2026

GREENWOOD VILLAGE, CO

FIDELITY PERSONAL AND WORKPLACE ADVISORS

Apr 2023 – Mar 2025

GREENWOOD VILLAGE, CO

CLIENT ONE SECURITIES LLC

Jan 2017 – Apr 2017

LEAWOOD, KS

WADDELL & REED

Sep 2013 – Nov 2016

OVERLAND PARK, KS

TLG ADVISORS, INC.

Jan 2010 – May 2013

LITTLETON, CO

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 7TO

Series 24

Series 26

Series 63

Series 66

Registration record

First registered · January 25, 2010

Years registered · 16

Disclosure History

2020Financial·Final

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

CREATIVEONE SECURITIES, LLC

CRD 152974 · SEC 801-78158

AUM

$1.7B

Regulatory assets under management

Employees

186

22,082 client accounts

Services offered by CREATIVEONE SECURITIES, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at CREATIVEONE SECURITIES, LLC →

Introduction

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Frequently Asked Questions

What services does James Dale Thompson offer?

James Dale Thompson specializes in Financial Planning, Investment Management.

What are James Dale Thompson's credentials?

James Dale Thompson is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Dale Thompson located?

James Dale Thompson is based in LEAWOOD, Kansas, last registered with CLIENT ONE SECURITIES LLC.

How does James Dale Thompson charge for services?

James Dale Thompson's firm is compensated through percentage of aum, hourly charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CLIENT ONE SECURITIES LLC?

CLIENT ONE SECURITIES LLC has approximately 186 employees and manages $1.7B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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