Thomas James Courtney

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2008 → Present
  Lpl Financial Llc
  El Segundo, CA

Other Businesses

1. 04/21/2008 - Coastal Insurance and Financial Services, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance DBA. 2. 04/21/2008 - No Business Name - Investment Related - 2467-2497 Solano Ave, Napa, CA 94558 - Real Estate Rental - 16,500 sq ft shopping center. 3. 12/6/2011 - Hanapepe Commercial Properties LLC - Investment Related - Hanapepe, Hawaii - Real Estate Rental - Time Spent 5% - Industrial commercial property located in Hanapepe Hawaii, four tenants none of whom are customers. 4. 10/26/2020 - No Business Name - Investment Related - Home Based & Napa, CA - Real Estate Rental - Start Date: 12/1/2020 - 20 Hours Per Month/0 Hours During Securities Trading - Second home potential purchase. 5. 12/7/2020 - Buffalo's Shipping & Wine LLC - Not Investment Related - 2471 Solano Ave, Napa, CA - Other-Business Owner - Start Date: 12/1/2020 - 20 Hours Per Month/0 Hours During Securities Trading.

Exams

• S66 Uniform Combined State Law Examination
  2010-02-22
• S63 Uniform Securities Agent State Law Examination
  1989-02-21