James W. Thompson

SALLUX INVESTMENTS LLC

Charlotte, NC

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CRD#: 2598728

Professional summary

James William Thompson JR, CFA, who also goes by Bill Thompson, James Willaim Thompson Jr, is a registered financial advisor currently at SALLUX INVESTMENTS LLC located in Charlotte, North Carolina and ELEVATION, LLC located in Charlotte, North Carolina.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. James has worked at 4 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Thompson | James Willaim Thompson Jr

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Mr. Thompson currently serves as a Sr. Managing Director of Elevation LLC, a FINRA-registered broker dealer. He serves as Advisor to Sallux Investments LLC since November 2023 He serves on the Board of Governors of Charlotte Country Club.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James William Thompson JR's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFA

Chartered Financial Analyst

Experience

Current

December 12, 2023 - Present

SALLUX INVESTMENTS LLC

RIA

CRD#: 328981

Charlotte, NC

Current

September 14, 2017 - Present

ELEVATION, LLC

Office #1: 6836 Carnegie Boulevard Suite 240, Charlotte, NC 28211

CRD#: 140341

Charlotte, NC

Past

May 12, 2021 - November 1, 2023

PRODEO ASSET MANAGEMENT, LLP

RIA

CRD#: 288692

CHARLOTTE, NC

Past

April 6, 1995 - August 2, 2002

JAMES M. MYERS AND CO., INC.

CRD#: 17468

CHARLOTTE, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Kansas
(11/21/2024)

North Carolina
(12/1/2022)

IAR

North Carolina
(12/12/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/14/2023

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/24/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/1/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/14/2017

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 1/31/2013

National Commodity Futures Examination

SRO Registrations

FINRA

Current Firm

SALLUX INVESTMENTS LLC

CRD#: 328981 / SEC#:

North Carolina

Registered Investment Advisory firm - (12/6/2023 Approved)

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Contact information

Main Address

Charlotte, NC

Mailing Address

Phone number

(704) 607-5448

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	10
AUM (Assets Under Management)	$ 5,178,947

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

James W. Thompson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James William Thompson JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

ELEVATION, LLC

PRODEO ASSET MANAGEMENT, LLP

JAMES M. MYERS AND CO., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/14/2023

Series 65

Date: 7/24/1996

Series 63

Date: 6/1/1995

SIE

Date: 10/1/2018

Series 7

Date: 9/14/2017

Series 3

Date: 1/31/2013

FINRA

Current Firm

SALLUX INVESTMENTS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SALLUX INVESTMENTS LLC

TRUST BUT VERIFY

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