Thomas Richard Lofy

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

• 03/2003 → Present
  Lpl Financial, Llc
  Phoenix, AZ

Other Businesses

(1) 06/11/2010: No Business Name - Notary - Not Investment Related - At Reported Business Location(s) - 1% Time Spent - Notary Public (2) 11/08/2013: Lofy Group Wealth Management, Inc. - Non-Variable Insurance DBA - At Reported Business Location(s) - 1% Time Spent - independent insurance agent selling non-variable life, health, disability, long term care, and employer sponsored group benefits including but not limited to health, life, long term care, disability, dental & vision. (3) 11/15/2013: Chirpana, LLC - Real Estate Rental - Investment Related - At Reported Business Location(s) - No Time Spent - owns one residential rental property (4) 11/17/2013: Lofy Law, PC - Other-Legal Services - Investment Related - At Reported Business Location(s) - 20% Time Spent - The law firm does estate planning. Thomas R. Lofy is an owner/attorney for the firm. (5) 11/17/2013: Santosha, LLC - Business Entity For Tax/Investment Purposes Only - Investment Related - At Reported Business Location(s) - No Time Spent (6) 11/20/2018 - 'Winston Realty - Shea & Tatum, LLC' - Not Investment Related - 11120 N Tatum Blvd, Suite 101, Phoenix, AZ 85028 - Real Estate Rental - Started 12/20/2002 - 0 Hours Per Month. (7) 12/12/2018 - Lofy CPA, PC - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Owner - Started 08/06/1990 - 24 Hours Per Month/0 Hours During Securities Trading - Tax preparation and IRS Power of Attorney for phone inquiries only. (8) 12/12/2018 - Lofy Group Wealth Management, Inc. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Independent Ins. Agent - Started 06/19/2009 - 1 Hour Per Month/0 Hours During Securities Trading - Selling non-variable life, health, disability, long term care, property casualty, and employer sponsored group benefits including but not limited to health, life, long term care, disability, dental & vision insurance. (9) 12/12/2018 - Lofy Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/19/2009 - 2 Hours Per Month/0 Hours During Securities Trading. (10) 12/12/2018 - Heiritage Legacy Expressions, LLC - Not Investment Related - At Reported Business Location(s) - Other-Business Owner - Owner - Started 11/01/2016 - 1 Hours Per Month/0 Hours During Securities Trading.

Exams

• S66 Uniform Combined State Law Examination
  2002-02-05