Michael Thompson has been an investment adviser representative at RWM Capital since May 2023, and is not listed among the firm’s executive officers or direct owners.
RWM Capital, LLC is a Sugar Land, TX firm with $222M under management, 1,439 clients and 21 advisers across 8 offices, as of its August 2026 filing.
Michael Thompson’s longest registration was 9 years at Charles Schwab & Co., Inc. (2008–2017). Before joining RWM Capital in 2023, Michael Thompson was registered through Strategic Wealth Investment Group, LLC and MML Investors Services, LLC.
- RWM Capital, LLCCurrent– present · 3 yearsSugar Land, TX · Adviser representative · Firm CRD 310635
- Strategic Wealth Investment Group, LLC– · under a yearHouston, TX · Adviser representative · Firm CRD 165474
- MML Investors Services, LLC– · under a yearDenver, CO · Adviser representative · Firm CRD 10409
- Northwestern Mutual Investment Services,llc– · 3 yearsEnglewood, CO · Adviser representative · Firm CRD 2881
- Charles Schwab & Co., Inc.– · 9 yearsLone Tree, CO · Adviser representative · Firm CRD 5393
- U.S. Bancorp Investments, Inc.– · under a yearDenver, CO · Adviser representative · Firm CRD 17868
- Merrill Lynch Pierce Fenner & Smith Inc.– · 1 yearDenver, CO · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
Michael Thompson is registered as an investment adviser representative in Texas, since May 2023.
- TexasSince 16 May 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 7 March 2005 |
| Series 7 | General Securities Representative Examination | 8 February 2005 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Michael L Thompson
- CRD
- 4880597
- Firm
- RWM Capital · CRD 310635
- Office
- 1600 HIGHWAY 6, SUITE 340, Sugar Land, TX 77478
- Registration
- Investment adviser registration
- In the industry since
- May 2006
- Disciplinary history
- Not yet shown here · SEC record
Where does Michael Thompson work?
Michael Thompson is an investment adviser representative registered through RWM Capital, LLC since May 2023, and is not listed among the firm’s executive officers or direct owners.
Is Michael Thompson a financial advisor?
Yes. Michael Thompson has a current investment-adviser registration in Texas, through RWM Capital since May 2023.
How many years of experience does Michael Thompson have?
Michael Thompson has 20 years in the financial industry, since May 2006, across 7 adviser firms.
What exams has Michael Thompson passed?
Michael Thompson has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in February 2005. FINRA credited Michael Thompson with the SIE, which began in October 2018.
Where did Michael Thompson work before RWM Capital?
Before RWM Capital, Michael Thompson was registered through Strategic Wealth Investment Group, LLC, August 2022 to March 2023; MML Investors Services, LLC, January 2022 to April 2022; Northwestern Mutual Investment Services,llc, August 2017 to November 2020; Charles Schwab & Co., Inc., April 2008 to June 2017; U.S. Bancorp Investments, Inc., March 2007 to January 2008; Merrill Lynch Pierce Fenner & Smith Inc., March 2005 to March 2007.
Where is Michael Thompson based?
Michael Thompson’s registered office is in Sugar Land, TX.
Is Michael Thompson registered with FINRA?
No. Michael Thompson has no current broker registration.
How can I verify Michael Thompson’s record?
Search CRD 4880597 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Michael Thompson’s full registration record.