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David J Thomas

LPl Financial LLC

Kokomo, IN

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2011-01-26
  • IN RA
    APPROVED
    Since 2011-01-26

Branch Locations

3134 S Lafountain St, Kokomo, IN 46902 • 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 Llc Kokomo IN 01/2011 Present
Previous Registrations
  • 2007-03-05 → 2010-11-04
    Edward Jones
    Kokomo, IN
    Kokomo, IN
    St Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-02-28
S63 Uniform Securities Agent State Law Examination 2006-05-12
  • S66 Uniform Combined State Law Examination
    2007-02-28
  • S63 Uniform Securities Agent State Law Examination
    2006-05-12
Other Names
  • David Thomas

View on SEC IAPD

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Other Offices

CREATIVE FINANCIAL DESIGNS, INC. · KOKOMO, IN
CREATIVE FINANCIAL DESIGNS, INC. · KOKOMO, IN
LPL FINANCIAL LLC · KOKOMO, IN
EDWARD JONES · KOKOMO, IN
HARBOUR INVESTMENTS, INC. · Kokomo, IN
SMITH FINANCIAL · KOKOMO, IN
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