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Thomas Edward Harkins

LPl Financial LLC

Londonderry, NH

CRD 6932744

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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

AuthorityCategoryStatusDate
NH RA APPROVED 2019-01-03
  • NH RA
    APPROVED
    Since 2019-01-03

Branch Locations

50 Nashua Rd Ste 202, Londonderry, NH 03053 • 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
Enterprise Holdings Llc Windsor Locks CT 05/2005 10/2017
Unemployed Derry NH 11/2017 03/2018
Lpl Financial Llc Londonderry NH 04/2018 Present
  • 05/2005 → 10/2017
    Enterprise Holdings Llc
    Windsor Locks, CT
  • 11/2017 → 03/2018
    Unemployed
    Derry, NH
  • 04/2018 → Present
    Lpl Financial Llc
    Londonderry, NH
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-12-29
  • S66 Uniform Combined State Law Examination
    2018-12-29

View on SEC IAPD

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Nearby Investors

DANA EDWARD NELSON
JILLIAN A FILLIP
NICK JERRY THERRIEN

Nearby Offices

PFS INVESTMENTS INC. · LONDONDERRY, NH
PFS INVESTMENTS INC. · Londonderry, NH
PFS INVESTMENTS INC. · LONDONDERRY, NH

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