Thomas Edgar Stolberg

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	2025-07-10

NY RA
APPROVED

Since 2025-07-10

Branch Locations

Cuba, NY • 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
Suny @Alfred State College	Alfred	NY	08/1988	09/2019
Frontier Financial Group, Llc	Cuba	NY	06/2006	Present
Thomas E. Stolberg, Cpa	Cuba	NY	08/1986	01/2020
Cadaret, Grant & Co., Inc.	Cuba	NY	08/2008	07/2025
Lpl Financial Llc	Cuba	NY	07/2025	Present

08/1988 → 09/2019

Suny @Alfred State College

Alfred, NY
06/2006 → Present

Frontier Financial Group, Llc

Cuba, NY
08/1986 → 01/2020

Thomas E. Stolberg, Cpa

Cuba, NY
08/2008 → 07/2025

Cadaret, Grant & Co., Inc.

Cuba, NY
07/2025 → Present

Lpl Financial Llc

Cuba, NY

Previous Registrations

2008-10-31 → 2025-07-10

Cadaret, Grant & Co., Inc.

East Concord, NY

Cuba, NY

Syracuse, NY

Syracuse, NY

Syracuse, NY

Other Businesses

1. 07/2025 - Frontier Financial Group, LLC - Business Entity For Tax/Investment Purposes Only - Cuba, NY - INV REL - Start Date 06/15/2006 - 10hrs/mth | 0hrs during trading

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2006-06-26

S63 Uniform Securities Agent State Law Examination

2006-06-26

View on SEC IAPD