Thomas Charles Moehringer

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
NY	RA	APPROVED	2021-08-03

NY RA
APPROVED

Since 2021-08-03

Branch Locations

995 Hicksville Rd, Massapequa, NY 11758 • United States

1001 Park Blvd, Massapequa Park, NY 11762 • United States

33 Main Street, Kings Park, NY 11754 • 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 Llc	Massapequa	NY	01/2016	Present
Astoria Bank	Massapequa	NY	01/2016	09/2021
Webster Bank	Massapequa	NY	09/2021	Present

01/2016 → Present

Lpl Financial Llc

Massapequa, NY
01/2016 → 09/2021

Astoria Bank

Massapequa, NY
09/2021 → Present

Webster Bank

Massapequa, NY

Other Businesses

1. 09/03/2021 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Webster Investments - Investment Related - At Reported Business Location(s) - Start Date: 09/03/2021. 2. 10/30/2025 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name Webster Investments - Investment Related - At Reported Business Location(s) - Start Date 11/13/2025 - 160 hours per month/ during trading

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1996-05-13

S63 Uniform Securities Agent State Law Examination

1996-05-13

Other Names

Thomas C Moehringer

View on SEC IAPD