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Thomas Joseph Harden

LPl Financial LLC

Staten Island, NY

Fort Mill, SC

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
SC RA APPROVED 2021-06-21
NY RA APPROVED 2021-06-20
TX RA APPROVED_RES 2021-06-18
  • SC RA
    APPROVED
    Since 2021-06-21
  • NY RA
    APPROVED
    Since 2021-06-20
  • TX RA
    APPROVED_RES
    Since 2021-06-18

Branch Locations

Staten Island, NY • 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
OrganizationCityStateFromTo
Ubs Financial Services Inc. New York NY 10/2010 06/2019
Unemployed Staten Island NY 06/2019 09/2019
Amazon Staten Island NY 09/2019 06/2021
Lpl Financial Llc Fort Mill SC 06/2021 Present
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2021-07-29
S66 Uniform Combined State Law Examination 2007-12-31
S65 Uniform Investment Adviser Law Examination 1993-01-14
  • S63 Uniform Securities Agent State Law Examination
    2021-07-29
  • S66 Uniform Combined State Law Examination
    2007-12-31
  • S65 Uniform Investment Adviser Law Examination
    1993-01-14
Other Names
  • Thomas Joseph Harden
  • Thomas Joseph Harden
  • Thomas Joseph Harden
  • Thomas Joseph Harden
  • Thomas J Harden

View on SEC IAPD

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