Thomas Joseph Topper

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 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

• 04/1986 → 11/2024
  Pruco Securities, Llc.
  Williamsville, NY
• 02/1986 → Present
  Prudential Insurance Company Of America
  Williamsville, NY
• 11/2024 → Present
  Lpl Enterprise, Llc
  Williamsville, NY

Previous Registrations

• 2008-11-24 → 2024-11-14
  Pruco Securities, Llc.
  Williamsville, NY
  Williamsville, NY

Other Businesses

1) 08/19/2024- Topper Financial Insurance and Financial Services Providing Service since 1986- Non-Variable Insurance Commission Trails- Health and Life Insurance Renewals- INV Related- At Williamsville, NY- Start date 03/28/2016- 0 HRS MTH- 0 HRS During Trading 2) 08/19/2024- Williamsville Preservation Foundation- Non-profit volunteer (not on board)- We meet to discuss improvements to the Village of Williamsville- Not INV Related- At Williamsville, NY -Start date 01/15/2016- 1 HRS MTH- 0 HRS During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-07-20
• S63 Uniform Securities Agent State Law Examination
  1986-05-07

Other Names

• Thomas Joseph Topper
• Thomas James Topper
• Thomas James Joseph Topper