John Thompson

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.