Thomas Alan Caprio

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
NJ	RA	APPROVED	2024-07-02

NJ RA
APPROVED

Since 2024-07-02

Branch Locations

Kenilworth, NJ • United States

1055 Lpl Way, Fort Mill, SC 29715 • 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
Royal Alliance Associates, Inc	West Long Branch	NJ	12/2006	07/2024
Lpl Financial Llc	Kenilworth	NJ	07/2024	Present

12/2006 → 07/2024

Royal Alliance Associates, Inc

West Long Branch, NJ
07/2024 → Present

Lpl Financial Llc

Kenilworth, NJ

Previous Registrations

2019-09-10 → 2024-07-04

Osaic Wealth, Inc.

Kenilworth, NJ

Scottsdale, AZ
2004-08-18 → 2020-06-30

Investment Advisors Asset Management, Llc

Kenilworth, NJ

Other Businesses

1. 05/23/2024 - Investment Advisor Financial Group - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 1/20/2007 - 65 Hrs/Mo; 5 Hrs During Trading. 2. 05/23/2024 - Thomas A.Caprio - Inv Related - At Reported Business Location(s) - Non-Variable Insurance - Started: 9/3/2019 - 1 Hr/Mo During Trading.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2004-06-24

S63 Uniform Securities Agent State Law Examination

2004-06-24

Designations

Certified Financial Planner

View on SEC IAPD