Thomas Sweeney

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

• 12/2015 → 04/2018
  Clarion Hotel
  Ocean City, MD
• 11/2017 → 04/2018
  Lombard Securities Inc.
  Baltimore, MD
• 04/2018 → 06/2018
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 04/2018 → 06/2018
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 11/2018 → 03/2019
  Laclaire Flooring
  Ocean City, MD
• 03/2019 → 11/2021
  Andersen Wealth Management
  Easton, MD
• 10/2018 → 10/2018
  Wilgus Insurance
  Salisbury, MD
• 07/2018 → 10/2018
  Clarion Resort
  Ocean City, MD
• 02/2022 → 04/2025
  Edward Jones
  St Louis, MO
• 11/2021 → 02/2022
  Unemployed
  Pittsville, MD
• 04/2025 → Present
  Lpl Financial
  Pittsville, MD

Previous Registrations

• 2022-04-04 → 2025-04-09
  Edward Jones
  Pittsville, MD
  St Louis, MO
  Berlin, MD
  Georgetown, DE
• 2019-03-18 → 2021-11-18
  Andersen Wealth Management
  Easton, MD
• 2018-04-18 → 2018-07-30
  Cambridge Investment Research Advisors, Inc.
  Berlin, MD
• 2017-12-01 → 2018-04-18
  Lombard Advisers Incorporated
  Berlin, MD
• 2014-01-28 → 2015-12-03
  Pnc Wealth Management Llc
  Catonsville, MD
  Ocean City, MD
  Ocean City, MD
  Ocean City, MD
  Berlin, MD
  Ocean Pines, MD
• 2011-11-17 → 2012-08-01
  Valic Financial Advisors, Inc.
  Linthicum Heights, MD
• 2011-04-29 → 2011-07-15
  Securian Financial Services, Inc.
  Rockville, MD
• 2009-10-01 → 2011-04-19
  Lpl Financial Llc
  Stevensville, MD
  San Diego, CA
  Stevensville, MD
  Annapolis, MD
• 2008-10-22 → 2009-10-02
  Pnc Wealth Management Llc
  Annapolis, MD
  Annapolis, MD
  Annapolis, MD
  Annapolis, MD
  Pasadena, MD
  Severna Park, MD
  Annapolis, MD
  Severna Park, MD
  Annapolis, MD
  Annapolis, MD
  Pasadena, MD
• 2007-02-28 → 2008-10-20
  Truist Investment Services, Inc.
  Severna Park, MD
  Gambrills, MD
  Gambrills, MD
  Severna Park, MD
• 2006-01-06 → 2007-03-12
  Lpl Financial Llc
  Annapolis, MD
  Arnold, MD
• 1998-03-13 → 2006-01-27
  Legg Mason Wood Walker, Incorporated
  Annapolis, MD

Other Businesses

1.04/08/2025; Investment products and services are offered through LPL Financial LLC using the DBA/trade name TS Wealth Advisors; Investment Related; at Reported Business Location(s); Start Date 04/08/2025; 150hrs/mth; 40hrs during trading 2.12/15/2025; None; Other - Book on Amazon; Not Investment Related; Pittsville,MD; Start Date 12/11/2025; 0hrs/mth; 0hrs during trading 3.08/11/2026; Bear Inc.; Outside/W-2 Employment; Not Investment Related; Salisbury,MD; Start Date 08/08/2026; 80hrs/mth; 0hrs during trading

Exams

• S66 Uniform Combined State Law Examination
  2022-04-02
• S65 Uniform Investment Adviser Law Examination
  1996-10-18
• S63 Uniform Securities Agent State Law Examination
  1992-07-02

Designations

• Chartered Financial Consultant

Other Names

• Thomas Edward Sweeney