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Thomas Bradley Holbrook

LPl Financial LLC

San Luis Obispo, CA

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2007-05-16
  • CA RA
    APPROVED
    Since 2007-05-16

Branch Locations

1540 Marsh St., Ste. 160, San Luis Obispo, CA 93401 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Linsco Private Ledger San Luis Obispo CA 05/2007 Present
  • 05/2007 → Present
    Linsco Private Ledger
    San Luis Obispo, CA
Previous Registrations
Other Businesses

1. 4/19/2012: DBA ONLY - HOLBROOK INVESTMENT SERVICES - TIME SPENT 5%.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-05-24
S63 Uniform Securities Agent State Law Examination 1989-09-12
  • S65 Uniform Investment Adviser Law Examination
    1999-05-24
  • S63 Uniform Securities Agent State Law Examination
    1989-09-12

View on SEC IAPD

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