Thomas Ray Geving

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
MI	RA	APPROVED	2012-05-29

MI RA
APPROVED

Since 2012-05-29

Branch Locations

Oxford, MI • United States

2050 Livernois Rd Ste B, Troy, MI 48083-1757 • United States

Disclosures

2 disclosure categories 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 Yes
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	Troy	MI	05/2012	Present

05/2012 → Present

Lpl Financial Llc

Troy, MI

Previous Registrations

2004-02-19 → 2012-05-25

Comerica Securities

Grosse Pointe Woods, MI

Muskegon, MI

Muskegon, MI

Kalamazoo, MI

Other Businesses

1. 05/24/2012 - BEST INNOVATION CONSULTANTS/ DBA ONLY/ TROY, MI

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-07-13
S63	Uniform Securities Agent State Law Examination	1999-06-07

S65 Uniform Investment Adviser Law Examination

1999-07-13
S63 Uniform Securities Agent State Law Examination

1999-06-07

View on SEC IAPD