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William Edward Thal

LPl Financial LLC

Bel Air, MD

CRD 2734061

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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

AuthorityCategoryStatusDate
MD RA APPROVED 2011-01-28
  • MD RA
    APPROVED
    Since 2011-01-28

Branch Locations

Bel Air, MD • 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
OrganizationCityStateFromTo
Lpl Financial Abingdon MD 01/2011 Present
  • 01/2011 → Present
    Lpl Financial
    Abingdon, MD
Previous Registrations
Other Businesses

1. 01/28/2011 - DBA ONLY, W. THAL WEALTH MANAGEMENT.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2005-03-02
S65 Uniform Investment Adviser Law Examination 2002-06-26
  • S63 Uniform Securities Agent State Law Examination
    2005-03-02
  • S65 Uniform Investment Adviser Law Examination
    2002-06-26
Other Names
  • Bill Thal

View on SEC IAPD

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