Thomas Hunt Spalding

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

• 12/2005 → 03/2021
  Harris Investor Services Inc
  Chicago, IL
• 03/2021 → Present
  Lpl Financial Llc
  Chicago, IL

Previous Registrations

• 2005-12-16 → 2021-03-24
  Bmo Harris Financial Advisors, Inc.
  Chicago, IL
  Chicago, IL
  Chicago, IL
  Chicago, IL
  Chicago, IL
  Chicago, IL
• 2000-12-11 → 2005-12-31
  Harrisdirect Llc
  Chicago, IL

Other Businesses

1) 03/24/2021 - DBA for LPL Business (entity for LPL business) - BMO Investment Services - Investment Related - CHICAGO, IL

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-06-16
• S63 Uniform Securities Agent State Law Examination
  1994-11-01

Other Names

• Tom Spalding