James Thompson has been an investment adviser representative at J.D.T. since December 2017, and is not listed among the firm’s executive officers or direct owners.
J.D.T. Inc is a Lexington, KY firm with $159M under management, 208 clients and 5 advisers in one office, as of its February 2026 filing.
James Thompson’s longest registration was 9 years at Cooper Management Service, Inc. (2003–2012). Before joining J.D.T. in 2017, James Thompson was registered through UBS Financial Services Inc. and Cooper Management Service, Inc.
- UBS Financial Services Inc.– · 5 yearsLexington, KY · Adviser representative · Firm CRD 8174
- Cooper Management Service, Inc.– · 9 yearsLexington, KY · Adviser representative · Firm CRD 123849
Investment adviser representative registrations
James Thompson is registered as an investment adviser representative in Kentucky, since December 2017.
- KentuckySince 12 December 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 25 April 2012 |
| Series 7 | General Securities Representative Examination | 10 April 2012 |
| Series 65 | Uniform Investment Adviser Law Examination | 20 February 2001 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Full name
- James Michael Thompson
- CRD
- 4624093
- Firm
- J.D.T. · CRD 146357
- Office
- 444 LEWIS HARGETT CIRCLE, STE 125, Lexington, KY 40503
- Registration
- Investment adviser registration
- In the industry since
- January 2003
- Disciplinary history
- Not yet shown here · SEC record
Where does James Thompson work?
James Thompson is an investment adviser representative registered through J.D.T. Inc since December 2017, and is not listed among the firm’s executive officers or direct owners.
Is James Thompson a financial advisor?
Yes. James Thompson has a current investment-adviser registration in Kentucky, through J.D.T. since December 2017.
How many years of experience does James Thompson have?
James Thompson has 23 years in the financial industry, since January 2003, across 3 adviser firms.
What exams has James Thompson passed?
James Thompson has passed 3 licensing exams: the Series 65, Series 7 and Series 63. The earliest, the Series 65, was passed in February 2001. FINRA credited James Thompson with the SIE, which began in October 2018.
Where did James Thompson work before J.D.T.?
Before J.D.T., James Thompson was registered through UBS Financial Services Inc., February 2012 to December 2017; Cooper Management Service, Inc., January 2003 to February 2012.
Where is James Thompson based?
James Thompson’s registered office is in Lexington, KY.
Is James Thompson registered with FINRA?
No. James Thompson has no current broker registration.
How can I verify James Thompson’s record?
Search CRD 4624093 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Thompson’s full registration record.
