Thomas Reese Newbrey

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-03-25
NC	RA	APPROVED	2009-02-06

TX RA
APPROVED_RES

Since 2021-03-25
NC RA
APPROVED

Since 2009-02-06

Branch Locations

Charlotte, NC • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial	Charlotte	NC	01/2009	Present

01/2009 → Present

Lpl Financial

Charlotte, NC

Previous Registrations

2006-01-20 → 2009-02-05

Banc Of America Investment Services, Inc.

Charlotte, NC
2001-12-31 → 2006-02-09

Citigroup Global Markets Inc.

Charlotte, NC

Charlotte, NC

Other Businesses

1. 01/30/09 - DBA ONLY, LEGACY WEALTH & RETIREMENT PLANNERS, LLC. 2. 12/02/2019 - TRN Asset Mgt - Not investment related - At reported busines location(s) - Business Entity For Tax/Investment Purposes Only - start date:03/03/2011 - 20 hrs/mo - 5 hrs during trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-05-04
S63	Uniform Securities Agent State Law Examination	1990-01-31

S65 Uniform Investment Adviser Law Examination

1993-05-04
S63 Uniform Securities Agent State Law Examination

1990-01-31

View on SEC IAPD