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Thomas Francis Dowling

LPl Financial LLC

Oak Brook, IL

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-05-28
IL RA APPROVED 2009-05-01
  • TX RA
    APPROVED_RES
    Since 2019-05-28
  • IL RA
    APPROVED
    Since 2009-05-01

Branch Locations

2021 Midwest Rd Ste 200, Oak Brook, IL 60523-1370 • 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
Lpl Financial Chicago IL 05/2009 Present
  • 05/2009 → Present
    Lpl Financial
    Chicago, IL
Previous Registrations
Other Businesses

1. 6/24/09 - MIDWEST INVESTMENT MANAGEMENT LLC, DBA ONLY. 2. 01/26/2011 - OTHER-NOTARY PUBLIC, NOTARY PUBLIC; FOR CLIENTS LPL DOCUMENTS ONLY, 1%.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-12-05
S63 Uniform Securities Agent State Law Examination 1990-05-23
  • S66 Uniform Combined State Law Examination
    2000-12-05
  • S63 Uniform Securities Agent State Law Examination
    1990-05-23
Other Names
  • Thomas Francis Dowling
  • Thomas Dowling

View on SEC IAPD

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DANIEL P SCHIPITSCH
ALAN P MADEJ
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Lauren A Mlady
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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAK BROOK, IL
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC · OAK BROOK, IL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · OAK BROOK, IL
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Oak Brook, IL
WEALTHQUEST CORPORATION · OAK BROOK, IL
ERGAWEALTH ADVISORS, INC. · OAK BROOK, IL
CETERA INVESTMENT ADVISERS LLC · OAK BROOK, IL
LPL FINANCIAL LLC · OAK BROOK, IL

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