Paul Thompson has been Chief Compliance Officer of Ascension Capital Advisors since January 2016, is a control person of the firm and directly owns between 10% and 25% of it.
Ascension Capital Advisors, Inc. is a Houston, TX firm with $939M under management, 240 clients and 7 advisers in one office, as of its June 2026 filing.
Paul Thompson’s longest registration is the current one, 11 years at Ascension Capital Advisors since 2015. Before joining Ascension Capital Advisors in 2015, Paul Thompson was registered through Strategic Advisers, Inc.
- – present · 11 yearsHouston, TX · Adviser representative · Firm CRD 109518
- Strategic Advisers, Inc.– · 2 yearsKaty, TX · Adviser representative · Firm CRD 104555
Investment adviser representative registrations
Paul Thompson is registered as an investment adviser representative in Texas, since October 2015.
- TexasSince 15 October 2015
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 22 June 2012 |
| Series 63 | Uniform Securities Agent State Law Examination | 1 September 2011 |
| Series 7 | General Securities Representative Examination | 24 August 2011 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Paul Bundy Thompson
- CRD
- 5942704
- Firm
- Ascension Capital Advisors · CRD 109518
- Role
- Chief Compliance Officer
- Office
- 4900 WOODWAY DRIVE, SUITE 1150, Houston, TX 77056
- Registration
- Investment adviser and broker registrations
- In the industry since
- July 2012
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Paul Thompson work?
Paul Thompson has been Chief Compliance Officer of Ascension Capital Advisors, Inc. since January 2016, and is a control person of the firm.
Is Paul Thompson a financial advisor?
Yes. Paul Thompson has a current investment-adviser registration in Texas, through Ascension Capital Advisors since October 2015.
How many years of experience does Paul Thompson have?
Paul Thompson has 14 years in the financial industry, since July 2012, across 2 adviser firms.
What exams has Paul Thompson passed?
Paul Thompson has passed 3 licensing exams: the Series 7, Series 63 and Series 66. The earliest, the Series 7, was passed in August 2011. FINRA credited Paul Thompson with the SIE, which began in October 2018.
Where did Paul Thompson work before Ascension Capital Advisors?
Before Ascension Capital Advisors, Paul Thompson was registered through Strategic Advisers, Inc., July 2012 to November 2014.
Where is Paul Thompson based?
Paul Thompson’s registered office is in Houston, TX.
Is Paul Thompson registered with FINRA?
Yes. Paul Thompson has a current broker registration, under CRD 5942704.
Source: FINRA BrokerCheck
How can I verify Paul Thompson’s record?
Search CRD 5942704 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Paul Thompson’s full registration record.