Thomas Carmen Grella

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
TX	RA	APPROVED_RES	2018-04-19
MA	RA	APPROVED	2006-01-12

TX RA
APPROVED_RES

Since 2018-04-19
MA RA
APPROVED

Since 2006-01-12

Branch Locations

Salisbury, MA • 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
Lpl Financial Llc	Methuen	MA	01/1990	Present
Grella Financial Services Inc	Methuen	MA	11/2001	Present

01/1990 → Present

Lpl Financial Llc

Methuen, MA
11/2001 → Present

Grella Financial Services Inc

Methuen, MA

Previous Registrations

2004-09-03 → 2016-08-23

Grella Financial Services Inc.

Methuen, MA

Other Businesses

1. 7/26/2001: Grella Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-12-29
S63	Uniform Securities Agent State Law Examination	1981-09-08

S65 Uniform Investment Adviser Law Examination

1994-12-29
S63 Uniform Securities Agent State Law Examination

1981-09-08

View on SEC IAPD