Simon Thompson has been an investment adviser representative at TLWM since November 2011, and is not listed among the firm’s executive officers or direct owners. Simon Thompson holds a Degree in Economics from Trinity University.
TLWM, LLC is a San Antonio, TX firm with $605M under management, 1,262 clients and 9 advisers across 5 offices, as of its March 2026 filing.
Simon Thompson is Senior Vice President and Wealth Advisor of TLWM Financial and a member of the Investment Committee that oversees and directs the firm's discretionary portfolios. He serves as a primary point of contact for clients. He began his career in financial services in 2005 and spent four years at a large Registered Investment Advisor in the San Francisco Bay area before joining the TLWM team.
Simon Thompson’s longest registration is the current one, 14 years at TLWM since 2011. Before joining TLWM in 2011, Simon Thompson was registered through LPL Financial LLC and Fisher Investments.
- TLWM FinancialCurrent– present · 14 yearsSan Antonio, TX · Adviser representative · Firm CRD 158305
- LPL Financial LLC– · 2 yearsFort Mill, SC · Adviser representative · Firm CRD 6413
- Fisher Investments– · 1 yearSan Mateo, CA · Adviser representative · Firm CRD 107342
Professional designations
Listed by TLWM
- Chartered Financial Analyst (CFA®)
Investment adviser representative registrations
Simon Thompson is registered as an investment adviser representative in Texas, since November 2011.
- TexasSince 11 November 2011
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 9 October 2009 |
| Series 63 | Uniform Securities Agent State Law Examination | 21 September 2009 |
| Series 65 | Uniform Investment Adviser Law Examination | 8 October 2007 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Simon James Thompson
- CRD
- 5436136
- Firm
- TLWM · CRD 158305
- Office
- 40 NE LOOP 410, SUITE 644, San Antonio, TX 78216
- Registration
- Investment adviser and broker registrations
- In the industry since
- November 2007
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- tlwmfinancial.com
Where does Simon Thompson work?
Simon Thompson is an investment adviser representative registered through TLWM, LLC since November 2011, and is not listed among the firm’s executive officers or direct owners.
Is Simon Thompson a financial advisor?
Yes. Simon Thompson has a current investment-adviser registration in Texas, through TLWM since November 2011.
How many years of experience does Simon Thompson have?
Simon Thompson has 18 years in the financial industry, since November 2007, across 3 adviser firms.
What exams has Simon Thompson passed?
Simon Thompson has passed 3 licensing exams: the Series 65, Series 63 and Series 7. The earliest, the Series 65, was passed in October 2007. FINRA credited Simon Thompson with the SIE, which began in October 2018.
Where did Simon Thompson work before TLWM?
Before TLWM, Simon Thompson was registered through Fisher Investments, October 2007 to August 2009.
Where is Simon Thompson based?
Simon Thompson’s registered office is in San Antonio, TX.
Is Simon Thompson registered with FINRA?
Yes. Simon Thompson has a current broker registration, under CRD 5436136.
Source: FINRA BrokerCheck
Is Simon Thompson a CFA charterholder?
TLWM lists Simon Thompson with the CFA credential (“Chartered Financial Analyst (CFA®)”) on its website. CFA Institute confirms certification status.
How can I verify Simon Thompson’s record?
Search CRD 5436136 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Simon Thompson’s full registration record.