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Thomas Rennegarbe

LPl Financial LLC

Villa Hills, KY

CRD 3120867

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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

AuthorityCategoryStatusDate
KY RA APPROVED 2021-09-17
SC RA APPROVED 2021-09-17
  • KY RA
    APPROVED
    Since 2021-09-17
  • SC RA
    APPROVED
    Since 2021-09-17

Branch Locations

Villa Hills, KY • 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
Fifth Third Securities Cincinnati OH 08/2013 08/2021
Lpl Financial Llc Walton KY 09/2021 Present
  • 08/2013 → 08/2021
    Fifth Third Securities
    Cincinnati, OH
  • 09/2021 → Present
    Lpl Financial Llc
    Walton, KY
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2009-07-31
S65 Uniform Investment Adviser Law Examination 1998-11-09
  • S63 Uniform Securities Agent State Law Examination
    2009-07-31
  • S65 Uniform Investment Adviser Law Examination
    1998-11-09
Other Names
  • Thomas Charles Rennegarbe

View on SEC IAPD

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