Thomas John Neess

Current Employers

Employment History

• 09/2015 → Present
  Lpl Financial Llc
  Mason, OH
• 09/2015 → Present
  Private Advisor Group, Llc
  Morristown, NJ

Previous Registrations

• 2015-01-30 → 2015-10-08
  Stonex Advisors Inc.
  Birmingham, AL
• 2000-10-03 → 2015-01-30
  Wrp Investments, Inc.
  Mason, OH
  Youngstown, OH
  Youngstown, OH

Other Businesses

1. 10/1/15 - Independent Financial Resources, LLC/DBA for LPL Business (entity for LPL business) - 100% - 8118 Corporate Way, Ste 165 Mason, OH 45040 2. 10/14/2015 - THOMAS NEESS - 8118 CORPORATE WAY STE 165,MASON, OHIO 45040 - SOLE PROPRIETORSHIP/NATURE OF BUS: INSURANCE AGENCY/TITLE: AGENT/DUTIES: SALES/PERCENTAGE OF TIME: 5% COMPENSATION: COMMISSIONS 3. 10/20/2015 - Private Advisor Group - INV REL - 8118 Corporate Way, Ste 165 Mason, OH 45040 - Registered Investment Advisor DBA - START 11/2001 - 100% TIME SPENT 4. 10/20/2015 - Private Advisor Group, LLC - INV REL - 65 Madison Avenue, Suite 300 Morristown, NJ 07960 - Registered Investment Advisor - START 10/2015 - 100% TIME SPENT - RIA. 5. 12/12/2016 - Private Advisor Group - DBA: (Hybrid) Independent Financial Resources, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 10/01/2015 - 2 Hours Per Month/1 Hour During Securities Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity on 12/12/16. I expect to spend approximately 160 hours/month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-12-28
• S63 Uniform Securities Agent State Law Examination
  1989-11-09

Other Names

• Thomas J Neess