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Thomas Henry Brazier

LPl Financial LLC

Montpelier, VT

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
VT RA APPROVED 2024-06-28
  • VT RA
    APPROVED
    Since 2024-06-28

Branch Locations

Montpelier, VT • 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
OrganizationCityStateFromTo
Windyvale Farm Montpelier VT 01/2001 Present
Windyvale Farm Trucking Montpelier VT 01/2014 Present
Bankers Life & Casualty South Burlington VT 12/2013 03/2021
Bankers Life Securities Inc South Berlington VT 09/2017 03/2021
Lincoln Investment Fort Washington PA 04/2021 06/2024
Capital Analysts Fort Washington PA 04/2021 06/2024
Lpl Financial Llc Montpelier VT 06/2024 Present
  • 01/2001 → Present
    Windyvale Farm
    Montpelier, VT
  • 01/2014 → Present
    Windyvale Farm Trucking
    Montpelier, VT
  • 12/2013 → 03/2021
    Bankers Life & Casualty
    South Burlington, VT
  • 09/2017 → 03/2021
    Bankers Life Securities Inc
    South Berlington, VT
  • 04/2021 → 06/2024
    Fort Washington, PA
  • 04/2021 → 06/2024
    Fort Washington, PA
  • 06/2024 → Present
    Montpelier, VT
Previous Registrations
Other Businesses

1) 06/24/2024 - Brazier Farm - Lease Crop Land, Logging - VT 05602 - Investment related - Start date: 10/01/1998. 2) 06/24/2024 - East Montpelier Fire and Ambulance - FifreFighter and CMS Provider - VT 05651 - Non investment related - Start date: 11/01/1973. 3) 06/24/2024 - Thomas Brazier Real Estate Rental - Real Estate Rental - Owner - VT 05602-9407 - Investment related - Start date: 01/24/2024. 4) 06/24/2024 - Windyvale Farm Trucking - Business Owner - Hauling Feed or gravel - Owner Operator - Custom Hauling for a Dairy Farm - Vt 05602 - Non investment related - Start date: 01/01/2014. 5) 06/24/2024 - Windyvale Farm - Grow Sweet Corn - VT 05602 - Non investment related - Start date: 01/01/2001. 6) 06/24/2024 - Windyvale Retirement Solutions - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month. 7) 06/24/2024 - Thomas Brazier NVI - Non-Variable Insurance - Level Four - Investment related - 160 Hours per month - Start date: 03/16/2021.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-09-17
S63 Uniform Securities Agent State Law Examination 2017-12-22
  • S65 Uniform Investment Adviser Law Examination
    2019-09-17
  • S63 Uniform Securities Agent State Law Examination
    2017-12-22
Other Names
  • Thomas Brazier

View on SEC IAPD

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