Thomas John Palm

LPl Financial LLC

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Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-11-29
MD	RA	APPROVED	2021-11-23

TX RA
APPROVED_RES

Since 2021-11-29
MD RA
APPROVED

Since 2021-11-23

Branch Locations

9528 Belair Rd, Baltimore, MD 21236 • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

9528 Belair Road, Baltimore, MD 21236 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Thomas J Palm	Baltimore	MD	05/1973	12/2020
Cetera Advisors Llc	Denver	CO	01/2013	11/2021
Lpl Financial	Baltimore	MD	11/2021	Present

05/1973 → 12/2020

Thomas J Palm

Baltimore, MD
01/2013 → 11/2021

Cetera Advisors Llc

Denver, CO
11/2021 → Present

Lpl Financial

Baltimore, MD

Previous Registrations

2004-01-01 → 2021-12-01

Cetera Advisors Llc

Arlington, VA

Baltimore, MD
2003-11-05 → 2004-01-01

Ifg Advisory Services Inc

Baltimore, MD

Other Businesses

1/2021 - Tax Prep/Accounting/CPA - THOMAS J PALM, PA - Investment Related - 50% - Baltimore, MD 21236

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2003-10-02
S63	Uniform Securities Agent State Law Examination	2000-01-14

S65 Uniform Investment Adviser Law Examination

2003-10-02
S63 Uniform Securities Agent State Law Examination

2000-01-14

Other Names

Thomas John Palm

View on SEC IAPD

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Other Investors

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MEREDITH ANNE MOWEN

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ROBERT SCOTT PIERCE

Other Offices

EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC · BALTIMORE, MD

PATIENT CAPITAL MANAGEMENT, LLC · BALTIMORE, MD

1919 INVESTMENT COUNSEL, LLC · BALTIMORE, MD

EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC · BALTIMORE, MD

EQUITYCOMPASS INVESTMENT MANAGEMENT, LLC · BALTIMORE, MD

TRUIST ADVISORY SERVICES, INC. · BALTIMORE, MD

TRUIST ADVISORY SERVICES, INC. · BALTIMORE, MD

TRUIST ADVISORY SERVICES, INC. · BALTIMORE, MD

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