Thomas John Coelho

LPl Financial LLC

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Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2025-06-23

NY RA
APPROVED

Since 2025-06-23

Branch Locations

25 Glen Head Road, Glen Head, NY 11545 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
B. Riley Wealth Management	Port Washington	NY	01/2015	06/2025
B. Riley Wealth Advisors, Inc.	Port Washington	NY	07/2022	06/2025
Lpl Financial	Glen Head	NY	06/2025	Present

01/2015 → 06/2025

B. Riley Wealth Management

Port Washington, NY
07/2022 → 06/2025

B. Riley Wealth Advisors, Inc.

Port Washington, NY
06/2025 → Present

Lpl Financial

Glen Head, NY

Previous Registrations

2022-07-27 → 2025-07-10

B. Riley Wealth Advisors, Inc.

Glen Head, NY
2015-01-09 → 2022-12-31

B. Riley Wealth Management

Glen Head, NY

Port Washington, NY

Memphis, TN
2009-10-05 → 2015-01-26

Ameriprise Financial Services, Llc

Melville, NY
2007-09-18 → 2009-10-05

Ameriprise Advisor Services, Inc.

Melville, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-09-17
S63	Uniform Securities Agent State Law Examination	1996-09-24

S65 Uniform Investment Adviser Law Examination

2007-09-17
S63 Uniform Securities Agent State Law Examination

1996-09-24

View on SEC IAPD

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