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Charles Tompkins, CFP®, CERTIFIED FINANCIAL PLANNER
Securities America Advisors, Inc.

Tel: 541-797-7009
115 Oregon Ave, Suite 21
Bend, OR 97701
Securities America Advisors, Inc. | Financial Advisor in Bend ,OR

About Charles Tompkins

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.


About Securities America Advisors, Inc.

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

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General Information

Firm Start Year:   2005
No.of Employees:   2-4
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
Work Experience:   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

Services

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 Information

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

Fee Structure:   Fee-Based
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

Education

Bachelor of Arts - Political Science  University of Vermont - Burlington, VT
1987-1991

MA - Spanish  Middlebury College - Vermont
07/01/1996-12/14/1998

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Faqs

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?

About 500

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Disclaimer

Securities and Advisory Services offered through Securities America Advisors, Inc. Member FINRA/SIPC

Compliance

Registered Investment Advisor:

Yes


Registered Representative:

Yes


Acknowledged fiduciary:

Yes


Compliance Disclosures in Last 5 years:

Have a clean record


Criminal Disclosures in Last 5 years:

Have a clean record


Office Hours

wiseradvisor-balck-li-img Mon. 8:00 AM - 5:00 PM
wiseradvisor-balck-li-img Tue. 8:00 AM - 5:00 PM
wiseradvisor-balck-li-img Wed. 8:00 AM - 5:00 PM
wiseradvisor-balck-li-img Thu. 8:00 AM - 5:00 PM
wiseradvisor-balck-li-img Fri. 8:00 AM - 5:00 PM
wiseradvisor-balck-li-img Sat. 9:00 AM - 4:00 PM

Communities Served

Bend Powell Butte
Redmond Terrebonne
Seattle

Compensation Arrangements

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