David Thompson has been Managing Member/CCO of Heritage Asset Management since September 2022, is a control person of the firm and directly owns 75% or more of it.
Heritage Asset Management, LLC is a Belton, MO firm with $155M under management, 749 clients and 2 advisers in one office, as of its January 2026 filing.
David Thompson’s longest registration was 13 years at Cetera Advisors LLC (2009–2022). Before joining Heritage Asset Management in 2022, David Thompson was registered through Cetera Advisors LLC and New England Securities Corporation.
- – present · 4 yearsBelton, MO · Adviser representative · Firm CRD 323344
- Cetera Advisors LLC– · 13 yearsBelton, MO · Adviser representative · Firm CRD 10299
- New England Securities Corporation– · 7 yearsOverland Park, KS · Adviser representative · Firm CRD 615
Investment adviser representative registrations
David Thompson is registered as an investment adviser representative in 2 states. Each was approved in October 2022.
- MissouriSince 18 October 2022
- TexasSince 18 October 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 29 October 2001 |
| Series 7 | General Securities Representative Examination | 25 September 2001 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- David Wayne Thompson
- CRD
- 4440375
- Firm
- Heritage Asset Management · CRD 323344
- Role
- Managing Member/CCO
- Office
- 7926 E 171ST STREET, Belton, MO 64012
- Registration
- Investment adviser registration
- In the industry since
- September 2001
- Disciplinary history
- Not yet shown here · SEC record
Where does David Thompson work?
David Thompson has been Managing Member/CCO of Heritage Asset Management, LLC since September 2022, and is a control person of the firm.
Is David Thompson a financial advisor?
Yes. David Thompson has a current investment-adviser registration in Missouri and Texas, through Heritage Asset Management since October 2022.
How many years of experience does David Thompson have?
David Thompson has 25 years in the financial industry, since September 2001, across 3 adviser firms.
What exams has David Thompson passed?
David Thompson has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in September 2001. FINRA credited David Thompson with the SIE, which began in October 2018.
Where did David Thompson work before Heritage Asset Management?
Before Heritage Asset Management, David Thompson was registered through New England Securities Corporation, February 2002 to April 2009.
Where is David Thompson based?
David Thompson’s registered office is in Belton, MO.
Is David Thompson registered with FINRA?
No. David Thompson has no current broker registration.
How can I verify David Thompson’s record?
Search CRD 4440375 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes David Thompson’s full registration record.