Thomas Lavern Dahlby

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-03-18
PA	RA	APPROVED	2018-02-14
SC	RA	APPROVED	2018-02-14
WI	RA	APPROVED	2018-02-14

TX RA
APPROVED_RES

Since 2021-03-18
PA RA
APPROVED

Since 2018-02-14
SC RA
APPROVED

Since 2018-02-14
WI RA
APPROVED

Since 2018-02-14

Branch Locations

101 W Mcmillan Street, Suite 1B, Marshfield, WI 54449 • 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
Sii Investments	Marshfield	WI	11/2004	02/2018
Lpl Financial Llc	Marshfield	WI	02/2018	Present

11/2004 → 02/2018

Sii Investments

Marshfield, WI
02/2018 → Present

Lpl Financial Llc

Marshfield, WI

Previous Registrations

2004-11-15 → 2018-02-15

Sii Investments, Inc.

Marshfield, WI

Marshfield, WI

Appleton, WI

Other Businesses

1. 02/14/2018 - DAHLBYCO, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - CO-OWNER - Start Date 2013. 2. 02/14/2018 - FINANCIAL INVESTORS OF WI, INC. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - AGENT - Start Date 1998. 3. 9/23/2020 - Financial Investors of Wisconsin - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 02/01/2013 - 160 Hours Per Month During Securities Trading.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-30
S63	Uniform Securities Agent State Law Examination	1983-03-28

S65 Uniform Investment Adviser Law Examination

1999-12-30
S63 Uniform Securities Agent State Law Examination

1983-03-28

Other Names

Thomas L Dahlby

View on SEC IAPD