Thomas James Varga

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/1998 → 09/2019
  Cadaret, Grant & Co., Inc.
  South Bend, IN
• 09/1986 → Present
  Financial Associates
  South Bend, IN
• 09/2019 → Present
  Lpl Financial Llc
  South Bend, IN

Previous Registrations

• 2007-05-07 → 2019-09-27
  Cadaret, Grant & Co., Inc.
  South Bend, IN

Other Businesses

1)09/06/2019 - FINANCIAL ASSOCIATES - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 09/2019 - 120 hr/mth 2)09/06/2019 - FINANCIAL ASSOCIATES - Tax Prep/Accounting/CPA - inv rel - at reported business location(s) - start: 01/1986 3)09/06/2019 - TICK LLC - Real Estate Rental - inv rel - 2 hr/mth 4)09/06/2019 - THOMAS J VARGA JR LLC - Business Entity For Tax/Investment Purposes Only - inv rel - at reported business location(s) - start: 10/1986 5) 1/14/2020 - GNLT5 LLC - Investment Related - 53700 Generations Dr. South Bend IN 46635 - Real Estate Rental - Started 12/20/2019 - 0 Hours Per Month.

Exams

• S63 Uniform Securities Agent State Law Examination
  1986-12-04

Designations

• Chartered Financial Consultant

Other Names

• Thomas James Jr Varga