Thomas P. Harris

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2013-04-08
IL	RA	APPROVED	2009-09-08

TX RA
APPROVED

Since 2013-04-08
IL RA
APPROVED

Since 2009-09-08

Branch Locations

Chicago, IL • 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
Lpl Financial Llc	Chicago	IL	09/2009	Present

09/2009 → Present

Lpl Financial Llc

Chicago, IL

Previous Registrations

2005-05-23 → 2009-09-08

Waterstone Financial Group, Inc.

Chicago, IL

Chicago, IL

Other Businesses

1- 06/17/2019 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Producer - Start Date: 01/01/1995 - 1 Hour Per Month/0 Hours During Securities Trading. 2- 01/12/2022 - No Business Name - Investment Related - At Reported Business Location(s) - Notary Public - Start Date: 01/01/2009 - 1 Hour Per Month/1 Hour During Securities Trading - Notary for the State of Illinois. 3- 06/05/2026 - Thomas P Harris - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - 1 hour per month/ during trading

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2001-01-16

S63 Uniform Securities Agent State Law Examination

2001-01-16

Designations

View on SEC IAPD