Thomas Wickliffe Gaines

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
KY	RA	APPROVED	2005-08-03

KY RA
APPROVED

Since 2005-08-03

Branch Locations

4350 Brownsboro Rd, Ste 110, Louisville, KY 40207 • 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
Lpl Financial Llc (Formerly: Linsco Private Ledger)	Louisville	KY	08/2005	Present

08/2005 → Present

Lpl Financial Llc (Formerly: Linsco Private Ledger)

Louisville, KY

Previous Registrations

2004-03-22 → 2005-08-05

Morgan Keegan & Company, Llc

Louisville, KY

Other Businesses

1. 07/06/2026 - T W Gaines & Co, LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 08/03/2005 - 160 hours per month/ 140 hours during trading

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-15
S63	Uniform Securities Agent State Law Examination	1991-09-30

S65 Uniform Investment Adviser Law Examination

1999-12-15
S63 Uniform Securities Agent State Law Examination

1991-09-30

Other Names

Wick Gaines
Thomas Wickliffe Iii Gaines
Wick Gaines

View on SEC IAPD

Current Employers

Lpl Financial Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Names

Other Firms

Other Investors

Other Offices

Reviews