Thomas Vaughn Brown

LPl Financial LLC

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Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2025-03-04

NY RA
APPROVED

Since 2025-03-04

Branch Locations

22 Century Hill Drive Suite 101, Office #3, Latham, NY 12110 • 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
Key Investment Services Llc	Albany	NY	11/2014	11/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Latham	NY	11/2018	03/2025
Bank Of America, N.A.	Latham	NY	01/2019	03/2025
Lpl Financial	Latham	NY	03/2025	Present

11/2014 → 11/2018

Key Investment Services Llc

Albany, NY
11/2018 → 03/2025

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Latham, NY
01/2019 → 03/2025

Bank Of America, N.A.

Latham, NY
03/2025 → Present

Lpl Financial

Latham, NY

Previous Registrations

2021-04-19 → 2025-03-06

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Latham, NY
2012-10-24 → 2014-11-13

Citizens Securities, Inc.

Latham, NY

Latham, NY

Troy, NY

Wynantskill, NY

Troy, NY

East Greenbush, NY

E. Greenbush, NY
2011-08-08 → 2012-10-25

Morgan Stanley

Albany, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-08-04

S66 Uniform Combined State Law Examination

2011-08-04

Other Names

Thomas Vaughn Brown
Thomas Vaughn Brown
Thomas V. Brown Jr.
Thomas Vaughn Brown
Thomas Brown

View on SEC IAPD

Other Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

AMERIPRISE FINANCIAL SERVICES, LLC

EAGLE STRATEGIES LLC

MML INVESTORS SERVICES, LLC

CAPABLE WEALTH, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

GALLAGHER FIDUCIARY ADVISORS, LLC

ALPHASTAR CAPITAL MANAGEMENT

Other Investors

Becky M Sciortino

CHRISTOPHER MICHAEL INGEMIE

DANIEL SCOTT SULLIVAN

Nicholas Arthur Mattiello

John Michael Daniels

Zachary T Rupert

Christopher Welfley

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LATHAM, NY

AMERIPRISE FINANCIAL SERVICES, LLC · Latham, NY

EAGLE STRATEGIES LLC · LATHAM, NY

MML INVESTORS SERVICES, LLC · LATHAM, NY

CAPABLE WEALTH, LLC · LATHAM, NY

LPL FINANCIAL LLC · LATHAM, NY

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC · LATHAM, NY

GALLAGHER FIDUCIARY ADVISORS, LLC · Latham, NY

More in Latham, NY

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