Thomas Eugene Marks

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 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

• 06/1995 → 01/2020
  New York Life Insurance Company
  La Palma, CA
• 05/1996 → 01/2020
  Nylife Securities Inc.
  La Palma, CA
• 02/2020 → Present
  Prudential Insurance Company Of America
  Irvine, CA
• 02/2020 → 11/2024
  Pruco Securities, Llc.
  Irvine, CA
• 11/2024 → Present
  Lpl Enterprise, Llc
  Irvine, CA

Previous Registrations

• 2024-05-01 → 2024-11-14
  Pruco Securities, Llc.
  Irvine, CA

Other Businesses

1) 11/14/2024-THOMAS MARKS-AGENT-NON-VARIABLE INSURANCE-INV RELATED-AT LA HABRA, CA-START DATE 07/01/1995-1HRS/MTH-1HRS/MTH DURING TRADING 2) 06/26/2025-ORANGE COUNTY ADVISORS, ASSET MGT, AND PLANNERS-FINANCIAL PLANNER-DBA for LPL Business (entity for LPL business)-INV RELATED-AT REPORTED BUSINESS LOCATION(S)-START DATE 06/19/2025-180HRS/5HRS/MTH DURING TRADING

Exams

• S65 Uniform Investment Adviser Law Examination
  2024-04-25
• S63 Uniform Securities Agent State Law Examination
  1996-07-19

Other Names

• Thomas E Marks
• Thomas Eugene Marks