Best Investors Account Sign in

Thomas Patrick Kelly

LPl Enterprise, LLC

Tolland, CT

Tolland, CT

Shelton, CT

CRD 5521808

Claim This Profile
Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 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 Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2024-11-14
  • CT RA
    APPROVED
    Since 2024-11-14

Branch Locations

36 Buff Cap Road Suite 3, Tolland, CT 06084 • United States

36 Buff Cap Road Suite 3, Tolland, CT 06084 • United States

1 Corporate Drive Suite 205, Shelton, CT 06484 • 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
Pruco Securities, Llc. South Windsor CT 04/2008 11/2024
Prudential Insurance Company Of America South Windsor CT 04/2008 Present
Lpl Enterprise, Llc Glastonbury CT 11/2024 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-11-13
S63 Uniform Securities Agent State Law Examination 2008-05-20
  • S65 Uniform Investment Adviser Law Examination
    2009-11-13
  • S63 Uniform Securities Agent State Law Examination
    2008-05-20
Other Names
  • Thomas Kelly

View on SEC IAPD

Nearby Firms

KEY INVESTMENT SERVICES LLC
AMERIPRISE FINANCIAL SERVICES, LLC
OSAIC INSTITUTIONS, INC.

Nearby Investors

MICHAEL HAROLD GISLESON
SAMANTHA HOPE GRUPE
MARY KATHERINE SLOAN

Nearby Offices

KEY INVESTMENT SERVICES LLC · Storrs, CT
AMERIPRISE FINANCIAL SERVICES, LLC · Tolland, CT
OSAIC INSTITUTIONS, INC. · STAFFORD SPRINGS, CT

More in Tolland, CT

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor