Thomas Patrick Mountain

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

• 05/2009 → 11/2018
  Wells Fargo Advisors Financial Network Llc
  Long Beach, CA
• 11/2018 → Present
  Lpl Financial, Llc
  Long Beach, CA

Previous Registrations

• 2003-11-21 → 2018-11-30
  Wells Fargo Advisors Financial Network, Llc
  Long Beach, CA
  Long Beach, CA
• 1997-07-08 → 2003-11-25
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Long Beach, CA

Other Businesses

1) 11/19/2018 - Office Building - BAYER AVE LLC - 3738 Bayer Ave Suite 215 Long Beach CA 90808 2) 11/19/2018 - Business Entity For Tax/Investment Purposes Only - Mountain Bishop and Associates - 3738 Bayer Ave Long Beach CA 90808 3) 11/19/2018 - DBA for LPL Business (entity for LPL business) - Mountain-Bishop Private Wealth Management - 3738 Bayer Ave Suite 215 Long Beach CA 90808 4) 9/2/2020 - Mountain Bishop Online Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/10/2020 - 8 Hours Per Month During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-11-02
• S63 Uniform Securities Agent State Law Examination
  1994-09-28

Other Names

• Thomas P Mountain