Thomas A Brophy

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

• 03/2014 → Present
  Lpl Financial
  Mt. Pleasant, SC
• 04/2014 → Present
  Maryland Financial Group, Inc.
  Mt. Pleasant, SC

Previous Registrations

• 2014-04-21 → 2025-07-16
  Maryland Financial Group, Inc.
  Mt. Pleasant, SC
  Rockville, MD
• 2012-10-23 → 2014-04-02
  Fsc Securities Corporation
  Mt. Pleasant, SC
• 2003-05-20 → 2011-02-08
  Scott & Stringfellow, Llc
  Mt. Pleasant, SC
  Charleston, SC

Other Businesses

1. 03/31/2014 - GSF Properties- REAL ESTATE RENTAL -0% - MYRTLE BEACH, SC - Inv Rel 2. 03/31/2014 - Legacy Wealth Management - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Inv Rel 3. 03/31/2014 - Financial Advocacy Network - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - INv Rel 4. 04/30/2014 - Maryland Financial Group - Inv Rel -Registered Investment Advisor - (HYBRID) Maryland Financial Group, Inc - TIME SPENT 75% - MT. PLEASANT, SC - At Reported Business Location(s) 5. 07/01/2025 - The Monitor Group - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Inv Rel - Start date: 07/01/2025

Exams

• S65 Uniform Investment Adviser Law Examination
  2012-07-19
• S63 Uniform Securities Agent State Law Examination
  1986-12-29

Other Names

• Thomas A Brophy
• Thomas Alphonsis Brophy
• Thomas A Brophy
• Thomas Alphonsis Brophy
• Tom Brophy
• Thomas Alphonsus Brophy