We provide wealth management services to individuals, trusts and small business clients. Our focus is working with retired clients as well as those nearing retirement. We provide retirement planning, estate planning and insurance planning as part of a comprehensive approach to wealth management. Charles Tompkins is licensed to offer securities and advisory services through Securities America Advisors, Inc., Member FINRA, SIPC. He attained a BA from the University of Vermont and an MA from Middlebury College. He taught four years at a private school in Greenwich, CT then worked for Edward Jones Investments in Seattle, WA from 2000-2005 before starting his own, independent practice with Securities America Advisors, Inc. in Seattle, WA. We currently serve our clients from offices in Seattle, WA and Bend, OR.
We provide wealth management services to individuals, trusts and small business clients. We
specialize in working with retired clients as well as those nearing retirement. We provide
retirement planning, estate planning and insurance planning as part of a comprehensive approach
to wealth management.
Seattle Office: 2208 NW Market Street Suite 507 Seattle, WA 98107
|Firm Start Year:||2005|
|Insurance License#:||Life & Disability|
|Name of Broker/Dealer:||Securities America Advisors, Inc.|
|Name of Custodial Firm:||Pershing LLC|
|States Licensed in:||CA,ID, VT, VA, WA, MT, OH, OR, AZ|
|Number of Years with Current Firm:||15|
Edward Jones Investment Representative(1999-2005)|
KMS Financial Services, Inc. (2005-2020)
Securities America Advisors, Inc. (Present)
|Work with the following types of clients:||Businesses, Individual Investors, Non-Profit Organizations|
|Foreign Languages Serviced:||Spanish, French|
|Investment Types:||Insurance, Annuities, Exchange Traded Funds (ETFs), Mortgages & Real Estate, Stocks, Alternative Investments, Options & Futures, Bonds, Mutual Funds, Socially Responsible Investments (SRI)|
|Can meet clients in the following ways:||Video Conference, Our Office, Your Home, Your Office, Via Phone, Via Email|
Qualifications & Memberships
|Insurance and Annuity Licenses:||Life, Annuity, Long Term Care, Variable Annuity, Variable Life, Disability|
|Financial Organization Memberships:||Financial Planning Association (FPA)|
|Firm's Number of Clients:||500|
|Firm's Number of Planning Clients:||100|
|Firm's Number of Managed Clients:||120|
|Assets Managed by Firm:||100000000|
|Advisor's Number of Clients:||500|
|Advisor's Number of Planning Clients:||300|
|Assets Managed by Advisor:||$10000000|
Compensation and Fees
|Compensation Methods:||Flat Fee, Based on Assets, Commissions|
|Fee % Based on Assets:||1.00%|
|Additional Details on Charges:||The fee is based on account size and holdings.|
|Minimum Fee Charged for Managed Accounts:||$1000/year|
|Bachelor of Arts - Political Science||
University of Vermont - Burlington, VT
|MA - Spanish||
Middlebury College - Vermont
Do you have a customer satisfaction or refund policy?
We work carefully to meet client expectations.
Why should I choose you as my financial advisor?
I have a BA in Political Science and an MA in Spanish. I am Series 7 licensed and hold a CFP designation from the College for Financial Planning.
What are your qualifications? What is your education background?
I follow the Certified Financial Planning process of gathering information, setting expectations, reviewing financial position, making recommendations based upon that analysis and implementing a plan for reaching goals and objectives. This involves frequent communication and follow up.
How do you charge for your services?
Wealth management, insurance and estate planning.
How are you compensated? How will I pay for your services?
|Securities and Advisory Services offered through Securities America Advisors, Inc. Member FINRA/SIPC|
Registered Investment Advisor:
Compliance Disclosures in Last 5 years:
Have a clean record
Criminal Disclosures in Last 5 years:
Have a clean record
|Mon.||8:00 AM - 5:00 PM|
|Tue.||8:00 AM - 5:00 PM|
|Wed.||8:00 AM - 5:00 PM|
|Thu.||8:00 AM - 5:00 PM|
|Fri.||8:00 AM - 5:00 PM|
|Sat.||9:00 AM - 4:00 PM|