Thomas John Sanneman

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:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-03-20
IL	RA	APPROVED	2010-05-26

TX RA
APPROVED_RES

Since 2020-03-20
IL RA
APPROVED

Since 2010-05-26

Branch Locations

Frisco, TX • 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

Organization	City	State	From	To
Lpl Financial, Llc	Aurora	IL	05/2010	Present

05/2010 → Present

Lpl Financial, Llc

Aurora, IL

Previous Registrations

2003-11-10 → 2010-06-04

Ameriprise Financial Services, Llc

Lombard, IL

Chicago, IL

Other Businesses

(1) 06/28/2010: Sanneman & Patterson, LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - 5% Time Spent - 50% Owner/Partner (2) 09/10/2010: United Health Care - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - 5% Time Spent - Individual Health Insurance Sales (3) 06/16/2014: Pacific Life - Insurance Agency - Investment Related - At Reported Business Location(s) - Started 06/12/2014 - 2 Hr/Mo; 0 Hours During Securities Trading - Life Insurance Producer (4) 08/11/2016: Insurance - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Started 08/12/2016 - 2 Hr/Mo; 0 Hours During Securities Trading

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-11-07

S66 Uniform Combined State Law Examination

2003-11-07

View on SEC IAPD