Thomas William Banks

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
CA	RA	APPROVED	2026-02-11

CA RA
APPROVED

Since 2026-02-11

Branch Locations

Rancho Santa Fe, CA • United States

4707 Executive Dr, San Diego, CA 92121-3091 • United States

Rancho Santa Fe, CA • 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
Wells Fargo Advisors Llc	San Diego	CA	05/2009	11/2016
Wells Fargo Clearing Services, Llc	San Diego	CA	11/2016	11/2025
Lpl Financial	Rancho Santa Fe	CA	02/2026	Present

05/2009 → 11/2016

Wells Fargo Advisors Llc

San Diego, CA
11/2016 → 11/2025

Wells Fargo Clearing Services, Llc

San Diego, CA
02/2026 → Present

Lpl Financial

Rancho Santa Fe, CA

Previous Registrations

2003-07-01 → 2025-12-18

Wells Fargo Clearing Services, Llc

San Diego, CA

San Diego, CA

Rancho Santa Fe, CA
1997-07-08 → 2003-07-01

Prudential Equity Group, Llc

San Diego, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-07-20
S63	Uniform Securities Agent State Law Examination	1987-02-02

S65 Uniform Investment Adviser Law Examination

1992-07-20
S63 Uniform Securities Agent State Law Examination

1987-02-02

View on SEC IAPD