Patricia Thomas

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
NY	RA	APPROVED	2021-08-03
TX	RA	APPROVED	2019-05-22

NY RA
APPROVED

Since 2021-08-03
TX RA
APPROVED

Since 2019-05-22

Branch Locations

2641 Merrick Road, Bellmore, NY 11710 • 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

Organization	City	State	From	To
Lpl Financial Llc	Bellmore	NY	07/2009	Present
Flagstar Bank N.A.	Bellmore	NY	07/2009	Present

07/2009 → Present

Lpl Financial Llc

Bellmore, NY
07/2009 → Present

Flagstar Bank N.A.

Bellmore, NY

Other Businesses

1. 02/02/2024 - Flagstar Wealth Services - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 2/2/2024

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-01-22
S63	Uniform Securities Agent State Law Examination	1999-01-18

S65 Uniform Investment Adviser Law Examination

1999-01-22
S63 Uniform Securities Agent State Law Examination

1999-01-18

Designations

Certified Financial Planner

View on SEC IAPD

Employer firm

Current Employers

Lpl Financial Llc

Disclosures

Employment History

Other Businesses

Exams

Designations

Nearby Firms

Nearby Investors

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