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Thomas Raymond Biggs

LPl Financial LLC

Roseville, CA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-06-05
  • CA RA
    APPROVED
    Since 2025-06-05

Branch Locations

300 Harding Blvd. Ste. 110, Roseville, CA 95678 • 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
Western International Securities, Inc. Pasadena CA 11/2013 Present
Lpl Financial Llc Roseville CA 06/2025 Present
  • 11/2013 → Present
    Western International Securities, Inc.
    Pasadena, CA
  • 06/2025 → Present
    Lpl Financial Llc
    Roseville, CA
Previous Registrations
  • 2015-01-02 → 2025-06-05
    Western International Securities, Inc.
    Santa Rosa, CA
    Roseville, CA
    Crystal Bay, NV
  • 2014-02-14 → 2014-12-31
    Gbs Financial Corp.
    Roseville, CA
    Santa Rosa, CA
  • 2013-12-23 → 2013-12-31
    Gbs Financial Corp.
    Roseville, CA
    Santa Rosa, CA
  • 2004-01-13 → 2013-12-13
    Gbs Financial Corp.
    Sacramento, CA
    Sacramento, CA
Other Businesses

Biggs Investment Management; Investment-Related; DBA for Advisory, Insurance, & Securities Business

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-07-28
S63 Uniform Securities Agent State Law Examination 1985-02-25
  • S65 Uniform Investment Adviser Law Examination
    1993-07-28
  • S63 Uniform Securities Agent State Law Examination
    1985-02-25

View on SEC IAPD

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Other Investors

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Other Offices

DCA FAMILY OFFICE, LLC · ROSEVILLE, CA
DCA MANAGEMENT COMPANY, INC. · ROSEVILLE, CA
MUTUAL ADVISORS, LLC · Roseville, CA
DCA FAMILY OFFICE, LLC · Roseville, CA
COMMONWEALTH FINANCIAL NETWORK · Roseville, CA
EDWARD JONES · ROSEVILLE, CA
SAFEGUARD INVESTMENT ADVISORY GROUP, LLC · Roseville, CA
MERCER GLOBAL ADVISORS INC. · ROSEVILLE, CA

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