Thomas Clark Frame

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
WV	RA	APPROVED	2026-01-15

WV RA
APPROVED

Since 2026-01-15

Branch Locations

Salem, WV • United States

449 Fortress Blvd Ste 1, Morgantown, WV 26508 • 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 No
Termination Yes

Employment History

Organization	City	State	From	To
Ameriprise Financial Services, Inc.	Coeur D Alene	ID	10/2013	03/2020
Ameriprise Financial Services, Llc	Bridgeport	WV	03/2020	01/2026
Lpl Financial Llc	Salem	WV	01/2026	Present

10/2013 → 03/2020

Ameriprise Financial Services, Inc.

Coeur D Alene, ID
03/2020 → 01/2026

Ameriprise Financial Services, Llc

Bridgeport, WV
01/2026 → Present

Lpl Financial Llc

Salem, WV

Previous Registrations

2013-10-04 → 2026-01-21

Ameriprise Financial Services, Llc

Sandpoint, ID

Bridgeport, WV

Salem, WV
2011-06-15 → 2013-10-18

Saxony Capital Management, Llc

Morgantown, WV

Saint Louis, MO

Morgantown, WV
2009-01-02 → 2011-04-05

Raymond James Financial Services Advisors, Inc

Morgantown, WV
1999-10-06 → 2009-01-02

Raymond James Financial Services, Inc.

Morgantown, WV

Other Businesses

1. 01/2026 - Blue Sky Management - Real Estate Rental - Investment related - Salem WV 26426 - 02 Hrs/Mth - 00 Hrs During Trading - OBA start date: 08/08/2003

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-04-20
S63	Uniform Securities Agent State Law Examination	1991-10-16

S65 Uniform Investment Adviser Law Examination

1994-04-20
S63 Uniform Securities Agent State Law Examination

1991-10-16

Other Names

Tom Frame
Thomas Frame

View on SEC IAPD