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David Wayne Thompson

HERITAGE ASSET MANAGEMENT, LLC·BELTON, Missouri
SIE, Series 7, Series 66Clean record24 years registeredHERITAGE ASSET MANAGEMENT, LLC
7926 E 171ST STREET, BELTON, MO 64012CRD# 4440375Firm CRD# 323344

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
David Wayne Thompson · BELTON, MO
Registration
CRD #4440375 · HERITAGE ASSET MANAGEMENT, LLC · 24 years registered
Brand Profile
Not yet started
01

Career History

HERITAGE ASSET MANAGEMENT, LLC
Oct 2022 – present
CETERA ADVISORS LLC
Apr 2009 – Oct 2022
BELTON, MO
NEW ENGLAND SECURITIES CORPORATION
Feb 2002 – Apr 2009
OVERLAND PARK, KS
02

Registrations & Exams

FINRA examinations passed
SIE
Series 7
Series 66
Registration record
First registered · February 20, 2002
Years registered · 24
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
HERITAGE ASSET MANAGEMENT, LLC
CRD 323344 · SEC 801-126700
AUM
$115M
Regulatory assets under management
Employees
2
1,103 client accounts
Services offered by HERITAGE ASSET MANAGEMENT, LLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Publication of periodicals/newsletters
Security ratings or pricing services
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at HERITAGE ASSET MANAGEMENT, LLC →
Introduction

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05

Frequently Asked Questions

What services does David Wayne Thompson offer?
David Wayne Thompson specializes in Financial Planning, Investment Management. Contact their office in BELTON, Missouri for a consultation.
What are David Wayne Thompson's credentials?
David Wayne Thompson is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is David Wayne Thompson located?
David Wayne Thompson is based in BELTON, Missouri, working with HERITAGE ASSET MANAGEMENT, LLC. Their office serves clients in the BELTON metropolitan area and surrounding communities.
How does David Wayne Thompson charge for services?
David Wayne Thompson's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is HERITAGE ASSET MANAGEMENT, LLC?
HERITAGE ASSET MANAGEMENT, LLC has approximately 2 employees and manages $115M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Browse by Specialty

Investment ManagementRetirement PlanningWealth ManagementFinancial PlanningFee-Only AdvisoryFinancial Education
Nearby cities in Missouri
ST. LOUIS (349)KANSAS CITY (148)CLAYTON (77)CHESTERFIELD (69)SAINT LOUIS (65)SPRINGFIELD (36)MANCHESTER (20)COLUMBIA (18)ST. PETERS (16)JEFFERSON CITY (10)
City Guides
ST. LOUIS GuideKANSAS CITY GuideCLAYTON GuideCHESTERFIELD GuideSAINT LOUIS Guide
Research
Advisor Fees in MissouriNational Fee Analysis
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