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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2013-08-27
  • PA RA
    APPROVED
    Since 2013-08-27

Branch Locations

840 1St Avenue Suite 400, King Of Prussia, PA 19406 • United States

Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2012-06-04
  • PA RA
    APPROVED
    Since 2012-06-04

Branch Locations

305 Madison Avenue, Morristown, NJ 07960 • United States

840 1St Avenue Suite 400, King Of Prussia, PA 19406 • 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
OrganizationCityStateFromTo
Lpl Financial Llc King Of Prussia PA 05/2009 Present
Private Advisor Group, Llc King Of Prussia PA 06/2012 Present
Previous Registrations
  • 2002-07-29 → 2009-04-23
    Cetera Wealth Services, Llc
    West Chester, PA
    West Chester, PA
    West Chester, PA
    Kennett Square, PA
    Westchester, PA
    West Chester, PA
    Kennett Square, PA
Other Businesses

1. 05/12/2009 - THOMAS CHARLES WEALTH MANAGEMENT - INV REL - AT REPORTED LOCATION - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) 2. 05/12/2009 - NON-VARIABLE INSURANCE - INV REL - 20% TIME SPENT - WHOLE, DI, TERM, FIXED ANNUITY, UNIVERSAL, LTC, HEALTH AND DENTAL 3. 12/23/2013 - PRIVATE ADVISOR GROUP, LLC - INV REL - REGISTERED INVESTMENT ADVISOR DBA - 45% TIME SPENT - CHARGE WRAP FEES, PROVIDE FINANCIAL PLANNING FOR A FEE. 4. 05/23/2016 * Thomas Charles * DBA for LPL Business (entity for LPL business) * Thomas Charles * inv rel * 150 S. Warner Rd King of Prussia, PA 19406 * This is really just a shortened version of my already approved DBA Thomas Charles Wealth Management. This is what I do all my LPL Hybrid RIA Business through! * start 05/19/2016 * 15 hrs/mo; 1 hr during secs trdg hrs. 5. 08/26/2016 * Delaware County Christian School * Coach/Sports * Not Inv Rel *462 Malin Road Newtown Square, PA 19073 * Start 09/01/2016 * High School Golf Coach * 40 Hrs/mo; 0 during securities trading hrs. 6. 1/13/2020 - Private Advisor Group, LLC - DBA: Private Advisor Group, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/01/2020 - 160 Hours Per Month/130 Hours During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-10
S63 Uniform Securities Agent State Law Examination 1998-01-21
  • S65 Uniform Investment Adviser Law Examination
    1999-11-10
  • S63 Uniform Securities Agent State Law Examination
    1998-01-21
Designations
Other Names
  • Tom Corcimiglia
  • Tommy Corcimiglia

View on SEC IAPD

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