Tom Duncan Bromm

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2009 → Present
  Lpl Financial, Llc
  Denver, CO

Previous Registrations

• 2003-09-30 → 2009-05-29
  Osaic Fa, Inc.
  San Ramon, CA
  San Ramon, CA
  San Ramon, CA

Other Businesses

(1) 05/27/2009: No Business Name - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - No Time Spent - Lines of fixed insurance including life and long term care. (Trail commissions) (2) 07/01/2009: MDB Group - Non-Variable Insurance DBA - At Reported Business Location(s) - 50% Time Spent - INS Types: Life, Disability, LTC, Fixed Annuities (3) 07/23/2009: MDB Group - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) (4) 11/10/2023 - Premier Marketing - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 11/01/2023 - 2 Hours Per Month/ 1 Hour During Trading

Exams

• S66 Uniform Combined State Law Examination
  2003-09-24