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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-04-06
GA RA APPROVED 2009-09-16
  • TX RA
    APPROVED
    Since 2021-04-06
  • GA RA
    APPROVED
    Since 2009-09-16

Branch Locations

3527 Wheeler Road, Augusta, GA 30909 • United States

3820 Washington Rd, Martinez, GA 30907 • United States

110 E. Hill St., Thomson, GA 30824 • United States

2805 Wrightsboro Road, Augusta, GA 30909 • United States

4349 Washington Road, Evans, GA 30809 • 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
First Bank Of Georgia Augusta GA 08/2009 Present
Lpl Financial Llc Augusta GA 09/2009 Present
  • 08/2009 → Present
    First Bank Of Georgia
    Augusta, GA
  • 09/2009 → Present
    Augusta, GA
Previous Registrations
  • 2007-04-10 → 2009-08-24
    Morgan Keegan & Company, Llc
    Memphis, TN
    Birmingham, AL
    Martinez, GA
  • 2006-06-22 → 2007-04-11
    Pfic Advisors, Inc.
    Augusta, GA
  • 2003-01-29 → 2006-05-01
    First Horizon Advisors, Inc.
    Chattanooga, TN
Other Businesses

1. 2/26/2019 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Cadence Investment Services - Investment Related - At Reported Business Location(s) - Started 01/15/2019 - 140 Hours Per Month/130 Hours During Securities Trading. 2. 06/09/2026 - Thomas M Powers - Non-Variable Insurance Commission Trails - Not Investment Related - At Reported Business Location(s) - Start Date 05/21/2026

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-11-16
S63 Uniform Securities Agent State Law Examination 1998-02-23
  • S65 Uniform Investment Adviser Law Examination
    1998-11-16
  • S63 Uniform Securities Agent State Law Examination
    1998-02-23
Designations
Other Names
  • Tommy Powers

View on SEC IAPD

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