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John Thompson
Manager of Compliance
John Thompson is the Manager of Compliance at Annex Wealth Management.
As Manager of Compliance, John’s responsibilities include overseeing the compliance team, the continuing implementation of compliance items, including assisting with regulatory oversight of all Annex Wealth Management® advisors, supervision of accounts and transactions, and compliance with US Securities & Exchange Commission and related securities rules and regulations.
In his current role, John serves as a vital liaison between various departments, ensuring seamless communication and collaboration on compliance matters. He is committed to staying attuned to industry regulations and continuously improving compliance processes to safeguard Annex’s reputation and operational success.
Prior to joining Annex Wealth Management, John held various roles with ALPS Fund Services based out of Denver, Colorado.
John graduated from the University of Colorado Boulder with a degree in Economics. He holds a Uniform Investment Advisor Law (Series 65) license with Annex Wealth Management.
John lives in Wauwatosa with his wife and their sons. He enjoys spending time outdoors and being with family and friends.
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After decades of planning and preparation, Annex Wealth Management has established a way of doing business that promises the same warm, personal, one-on-one interaction to all clients. Using leading-edge technology, analytics and review, our staff of skilled professionals constantly seeks to confidently deliver an elite, full-service wealth management experience.
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