wiseradvisor

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 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


General Information

Firm Start Year:   2005
No.of Employees:   2-4
Gender:   Male
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)
I work with the following types of clients:   Individual Investors, Non-Profit Organizations, Businesses
Foreign Languages Serviced:   Spanish, French


Services

Investment Types:   Options & Futures, Bonds, Stocks, Annuities, Insurance, Mutual Funds, Exchange Traded Funds (ETFs), Mortgages & Real Estate, Alternative Investments, Socially Responsible Investments (SRI)
I can meet clients in the following ways:   At your office, Via Email, Via Phone, At my office, At your home, Video Conference


Qualifications & Memberships

Insurance and Annuity Licenses:   Disability, Annuity, Life, Variable Annuity, Long Term Care, Variable Life
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


Compliance

Registered Investment Advisor:   Yes
Registered Representative:   Yes
I am an acknowledged fiduciary:   Yes
Compliance Disclosures in Last 5 years:   I have a clean record
Criminal Disclosures in Last 5 years:   I have a clean record


Compensation and Fees

Fee Structure:   Fee-Based
Compensation Methods:   Commissions, Flat Fee, Based on Assets
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



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

Charles Tompkins

Charles Tompkins

CFP®, CERTIFIED FINANCIAL PLANNER

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.

My Team

Alexandra Smith Alexandra Smith Administrative assistant

Alexandra is a graduate of the University of Vermont and has worked in office management and administrative rolls for the past five years.

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

Check