Thomas Frederick Howard

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

• 09/2012 → Present
  Lpl Financial
  Walnut Creek, CA

Previous Registrations

• 2007-01-26 → 2012-09-10
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Francisco, CA
• 1998-11-17 → 2007-02-06
  Ubs Financial Services Inc.
  San Francisco, CA
  San Francisco, CA

Other Businesses

1. 09/06/2012 - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - HOWARD WEALTH MANAGEMENT - WALNUT CREEK, CA 2. 10/30/2012 - NON-VARIABLE INSURANCE - LLIFE, LONG TERM CARE, FIXED ANNUITIES - TIME SPENT 10% - WALNUT CREEK, CA

Exams

• S63 Uniform Securities Agent State Law Examination
  1987-07-10

Other Names

• Ric Howard
• Rick Howard
• Rick Howard