Thomas Gilbert Herrin

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

• 02/2009 → 05/2020
  Raymond James Financial Services, Inc
  Federal Way, WA
• 03/2009 → 05/2020
  Raymond James Financial Services Advisors Inc.
  Federal Way, WA
• 11/2009 → 01/2019
  Insurance-Non Variable
  Federal Way, WA
• 10/2010 → Present
  Thomas Herrin Financial
  Federal Way, WA
• 12/2012 → Present
  Steelhead Run Properties Llc
  Madison County, MS
• 01/2008 → 09/2020
  Chaffee & Associates Llc
  Federal Way, WA
• 12/2012 → Present
  Chula Acres Llc
  Mississippi, MS
• 02/2009 → 09/2020
  Chaffee And Associates
  Federal Way, WA
• 05/2020 → 07/2025
  Financial Advocates Investment Management
  Mckinney, TX
• 05/2020 → Present
  Lpl Financial, Llc
  Mckinney, TX

Previous Registrations

• 2020-05-19 → 2025-09-17
  Financial Advocates Investment Management
  Olympia, WA
  Federal Way, WA
  Mckinney, TX
• 2009-03-05 → 2020-06-03
  Raymond James Financial Services Advisors, Inc
  Federal Way, WA
• 2001-02-12 → 2009-03-03
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Federal Way, WA
  Tacoma, WA

Other Businesses

1) 5/2020 - DBA for LPL Business (entity for LPL business) - HERRIN FINANCIAL - Investment Related - Federal Way, WA 2) 12/2014 - Business Entity For Tax/Investment Purposes Only - THOMAS HERRIN FINANCIAL, LLC. - Not Investment Related - Federal Way, WA 3) 1/2013 - Outside/W-2 Employment - CHULA ACRES, LLC - Not Investment Related - Ridgeland, MS 4) 1/2016 - Outside/W-2 Employment - GIBWIN, LLC - Not Investment Related - Lafayette county, MS 5) 1/2016 - Outside/W-2 Employment - Depot Historic House LLC - Not Investment Related - Lafayette county, MS 6) 1/2016 - Outside/W-2 Employment - RUSSELLWALD, LLC - Not Investment Related - Oxford, MS 7) 1/2016 - Outside/W-2 Employment - BERRYHILL, LLC - Not Investment Related - Lafayette county, MS 8) 7/7/2020 - Financial Advocates Investment Management - DBA: Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 06/30/2020 - 144 Hours Per Month/120 Hours During Securities Trading - I provide investment advisory services through Financial Advocates Investment Management, an independent investment advisor firm. I started this business activity in 06/2020. I expect to spend approximately 144 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 9) 7/7/2020 - Financial Advocates Investment Management - DBA: (Hybrid) Herrin Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 06/30/2020 - 144 Hours Per Month/120 Hours During Securities Trading. 10) 01/05/2023 - STEELHEAD RUN PROPERTIES, LLC - Not Investment Related - Home Based - Outside/W-2 Employment - Start Date: 12/21/2022 - 1 Hour Per Month/0 Hours During Securities Trading - Co-Manager of property.

Exams

• S66 Uniform Combined State Law Examination
  2001-02-05

Designations

• Certified Financial Planner

Other Names

• Tom Herrin
• Thomas G Herrin