Thomas Dean Bales

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-04-27
MO	RA	APPROVED	2021-04-26

TX RA
APPROVED_RES

Since 2021-04-27
MO RA
APPROVED

Since 2021-04-26

Branch Locations

Lee'S Summit, MO • 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
Self-Employment - Part Time Tax Practice	Lee'S Summit	MO	12/1979	Present
Avantax Investment Services, Inc.	Lee'S Summit	MO	12/1991	04/2021
Avantax Advisory Services	Lee'S Summit	MO	04/1994	04/2021
Avantax Insurance Agency, Llc	Lee'S Summit	MO	05/1994	04/2021
Lpl Financial, Llc	Lee's Summit	MO	04/2021	Present

12/1979 → Present

Self-Employment - Part Time Tax Practice

Lee'S Summit, MO
12/1991 → 04/2021

Avantax Investment Services, Inc.

Lee'S Summit, MO
04/1994 → 04/2021

Avantax Advisory Services

Lee'S Summit, MO
05/1994 → 04/2021

Avantax Insurance Agency, Llc

Lee'S Summit, MO
04/2021 → Present

Lpl Financial, Llc

Lee's Summit, MO

Previous Registrations

1994-02-15 → 2021-04-30

Avantax Advisory Services

Lee'S Summitt, MO

Other Businesses

1. 12/20/2001 - BALES & ASSOCIATES INC/ TAX PREP/ACCOUNTING/CPA/ INVESTMENT RELATED/ 40%/ LEE'S SUMMIT, MO 2. 11/26/2024 - Borden Hamman Agency - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 11/01/2024 - 2 Hours Per Month/ 0 Hours During Trading

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1992-01-27

S63 Uniform Securities Agent State Law Examination

1992-01-27

Designations

View on SEC IAPD