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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2013-08-27 |
Branch Locations
840 1St Avenue Suite 400, King Of Prussia, PA 19406 • United States
305 Madison Avenue, Morristown, NJ 07960 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | King Of Prussia | PA | 05/2009 | Present |
| Private Advisor Group, Llc | King Of Prussia | PA | 06/2012 | Present |
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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-11-10 |
| S63 | Uniform Securities Agent State Law Examination | 1998-01-21 |
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