Thomas Joseph Korzon

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
FL	RA	APPROVED	2016-09-07
TX	RA	APPROVED_RES	2015-02-10
MI	RA	APPROVED	2010-08-03

FL RA
APPROVED

Since 2016-09-07
TX RA
APPROVED_RES

Since 2015-02-10
MI RA
APPROVED

Since 2010-08-03

Branch Locations

Pompano Beach, FL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Thomas Korzon	Mt Clemens	MI	10/1990	Present
Lpl Financial Llc	Mt. Clemens	MI	09/1999	Present

10/1990 → Present

Thomas Korzon

Mt Clemens, MI
09/1999 → Present

Lpl Financial Llc

Mt. Clemens, MI

Other Businesses

(1) 08/12/2015 - NO BUSINESS NAME - REAL ESTATE RENTAL - START 09/01/1997 - 6 HRS/MO NOT DURING SECS TRDG HRS.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2010-06-23
S65	Uniform Investment Adviser Law Examination	2002-01-28
S63	Uniform Securities Agent State Law Examination	1985-06-20

S66 Uniform Combined State Law Examination

2010-06-23
S65 Uniform Investment Adviser Law Examination

2002-01-28
S63 Uniform Securities Agent State Law Examination

1985-06-20

Other Names

Tom Korzon

View on SEC IAPD