Thomas A Davia

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_RES	2020-10-23
IL	RA	APPROVED	2017-07-31

TX RA
APPROVED_RES

Since 2020-10-23
IL RA
APPROVED

Since 2017-07-31

Branch Locations

11545 W.TOuhy Ave., Chicago, IL 60666 • 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
Woodbury Financial Services Inc	Downers Grove	IL	07/2016	07/2017
Alliant Credit Union	Chicago	IL	07/2017	Present
Lpl Financial Llc	Chicago	IL	07/2017	Present

07/2016 → 07/2017

Woodbury Financial Services Inc

Downers Grove, IL
07/2017 → Present

Alliant Credit Union

Chicago, IL
07/2017 → Present

Lpl Financial Llc

Chicago, IL

Other Businesses

1)7/17/17- Alliant Retirement and Investment Services- DBA for LPL Business (entity for LPL business)- Inv. Related- at reported business location- 100%

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-07-28
S63	Uniform Securities Agent State Law Examination	1997-08-29

S66 Uniform Combined State Law Examination

2017-07-28
S63 Uniform Securities Agent State Law Examination

1997-08-29

Other Names

Thomas A Davia
Tom Davia
Thomas Anthony Davia

View on SEC IAPD