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Thomas Terry Vigil

LPl Financial LLC

Atascadero, CA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-11-06
CA RA APPROVED 2009-06-29
  • TX RA
    APPROVED
    Since 2020-11-06
  • CA RA
    APPROVED
    Since 2009-06-29

Branch Locations

7570 Morro Road, Atascadero, CA 93422 • 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 Atascadero CA 06/2009 Present
  • 06/2009 → Present
    Lpl Financial
    Atascadero, CA
Previous Registrations
  • 2008-01-01 → 2009-07-14
    Wells Fargo Clearing Services, Llc
    San Luis Obispo, CA
  • 2003-02-13 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    San Luis Obispo, CA
    St. Louis, MO
    San Luis Obispo, CA
Other Businesses

1. 06/26/09 - DBA ONLY / LIVE OAK FINANCIAL 2. 05/18/2009-NON VARIABLE INS DBA-LIVE OAK FINANCIAL-

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-11-08
  • S66 Uniform Combined State Law Examination
    2002-11-08
Designations

View on SEC IAPD

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STATE FARM INVESTMENT MANAGEMENT CORP. · Atascadero, CA
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