Thomas Norbert Spanier

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:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
MN	RA	APPROVED	2014-01-21

MN RA
APPROVED

Since 2014-01-21

Branch Locations

Eden Prairie, MN • 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
Lpl Financial	Eden Prairie	MN	08/2002	Present

08/2002 → Present

Lpl Financial

Eden Prairie, MN

Other Businesses

1.01/26/07- DBA-FINANCIAL PLANNING OF MINNESOTA, INC ST. PAUL, MN. 2. 04/30/09 - INSURANCE*APPROVED, DBA, COUNSEL RETIREMENT PLANS, INC. 3. 10/27/2011-COUNSEL RETIREMENT PLANS, INC-DBA ONLY.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1995-11-09

S63 Uniform Securities Agent State Law Examination

1995-11-09

View on SEC IAPD