Thomas G Carouthers

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:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2009-05-01

TX RA
APPROVED

Since 2009-05-01

Branch Locations

League City, TX • United States

Galveston, TX • 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	Houston	TX	05/2009	Present

05/2009 → Present

Lpl Financial Llc

Houston, TX

Previous Registrations

2002-04-11 → 2009-05-04

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Sugar Land, TX

Sugar Land, TX

Other Businesses

1. 05/01/2009 - ARENA POWER - OTHER-PST - INV REL - AT REPORTED BUSINESS LOCATION - Own stock in a private company, 20%, passive investment, no client involvement, no custody or control - 0% TIME SPENT.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-08-03

S66 Uniform Combined State Law Examination

2001-08-03

View on SEC IAPD