Thomas Mathiesen

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2015 → Present
  Lpl Financial
  Fort Mill, SC

Previous Registrations

• 2014-11-18 → 2015-02-20
  Lpl Financial Llc
  Parker, CO
  Fort Mill, SC
• 2012-09-18 → 2014-11-19
  Msi Financial Services, Inc.
  Greenwood Village, CO
  Parker, CO
  Greenwood Village, CO
  Greenwood Village, CO
• 2011-09-20 → 2012-08-09
  Valic Financial Advisors, Inc.
  Lakewood, CO
• 2008-05-02 → 2011-04-27
  Charles Schwab & Co., Inc.
  Englewood, CO
  Englewood, CO
  Englewood, CO
  Englewood, CO
  Englewood, CO
  Englewood, CO
  Englewood, CO

Other Businesses

1. 10/12/2023 - Real Estate Rental - Owner - Investment Related - Keystone, CO - Start Date 11/1/2023 - 2 Hours Per Month

Exams

• S65 Uniform Investment Adviser Law Examination
  2008-05-01
• S63 Uniform Securities Agent State Law Examination
  1991-04-19

Other Names

• Thomas Albert Mathiesen