Thomas James Carlson

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2013 → 04/2019
  Cetera Advisors Llc
  Denver, CO
• 04/2019 → Present
  Lpl Financial Llc
  Walnut Creek, CA

Previous Registrations

• 2013-03-22 → 2019-05-14
  Cetera Advisors Llc
  Walnut Creek, CA
• 2012-10-12 → 2013-03-21
  Ameriprise Financial Services, Llc
  Walnut Creek, CA
• 2011-06-17 → 2012-10-25
  Centaurus Financial, Inc.
  Walnut Creek, CA
  Walnut Creek, CA
  Portland, OR
  Walnut Creek, CA

Other Businesses

1)06/24/2014 - Act in a Fiduciary Capacity - The Carlson Family Trust - 1HR/MO DURING TRADING - INVESTMENT RELATED - BRENTWOOD, CA 2)04/2019 - DBA for LPL Business (entity for LPL business) - THOMAS CARLSON AND ASSOCIATES - 100% - INVESTMENT RELATED - WALNUT CREEK, CA

Exams

• S65 Uniform Investment Adviser Law Examination
  2011-06-02
• S63 Uniform Securities Agent State Law Examination
  2005-03-17