Thomas James Fiorelli

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

• 01/2007 → 07/2025
  Cadaret, Grant & Co., Inc.
  Peckville, PA
• 01/2007 → Present
  Strategic Planning Associates, Llc.
  Peckville, PA
• 07/2025 → Present
  Lpl Financial Llc
  Peckville, PA

Previous Registrations

• 2011-01-03 → 2025-07-10
  Cadaret, Grant & Co., Inc.
  Syracuse, NY
  Peckville, PA

Other Businesses

1. 04/28/2025 -Strategic Planning Associates, LLC- Property and Casualty- INV Related- At Reported Business Location(s)- Start date 01/15/2008- 2 Hours Per Month- 2 Hours During Trading 2. 04/29/2025 - Borough of Jessup- Politics/ Government- Not INV Related- At Jessup, PA- Start date 01/01/2022- 4 Hours Per Month 3. 04/29/2025- SPA Holdings, LLC- Real Estate Rental- INV Related- At Reported Business Location(s)- Start date 05/08/2009- 2 Hours Per Month- 1 Hour During Trading 4. 04/29/2025- Thomas J. Fiorelli III-INV Related- At Reported Business Location(s)- Start date 09/15/2017- 2 Hours Per Month- 2 Hours During Trading 5. 04/29/2025- Bernardi Wilson Insurance- Property and Casualty- INV Related- At Reported Business Location(s)- Start date 09/15/2017- 2 Hours Per Month- 2 Hours During Trading 6. 04/29/2025- Strategic Planning Associates, LLC- DBA for LPL Business (entity for LPL business)- INV Related- At Reported Business Location(s)- Start date 01/01/2007- 160 Hours Per Month- 160 Hours During Trading 7. 04/30/2025- Valley View Cougar Kickoff Club- Non-Profit Board Member- Not INV Related- At Peckville, PA- Start date 02/10/2025- 1 Hour Per Month 8. 07/30/2025 - TJF Holdings, LLC - Real Estate Rental - Home based - Inv Rel- Start date 07/23/2025 - 20 Hours Per Month/ 2 hours during trading 9. 02/04/2026 - TJF Holdings LLC - Real Estate Rental - Investment Related - At Reported Business Location(s) - Start Date 01/26/2026 - 5 hours per month/ 0 hours during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-08-05
• S63 Uniform Securities Agent State Law Examination
  2001-12-06

Designations

• Certified Financial Planner