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Thomas Gerard Harkins

LPl Financial LLC

Warwick, RI

Londonderry, NH

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2026-05-29
NH RA APPROVED 2006-01-04
  • RI RA
    APPROVED
    Since 2026-05-29
  • NH RA
    APPROVED
    Since 2006-01-04

Branch Locations

Warwick, RI • United States

50 Nashua Rd Ste 202, Londonderry, NH 03053 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.) Londonderry NH 01/2006 Present
  • 01/2006 → Present
    Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)
    Londonderry, NH
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-04
S63 Uniform Securities Agent State Law Examination 1996-03-25
  • S65 Uniform Investment Adviser Law Examination
    1999-06-04
  • S63 Uniform Securities Agent State Law Examination
    1996-03-25

View on SEC IAPD

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AMERIPRISE FINANCIAL SERVICES, LLC · WARWICK, RI
CETERA INVESTMENT ADVISERS LLC · WARWICK, RI
CETERA INVESTMENT ADVISERS LLC · WARWICK, RI
INTEGRATED WEALTH CONCEPTS LLC · Warwick, RI
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