Thomas Harold Minor

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
TX	RA	APPROVED_RES	2013-02-26
CA	RA	APPROVED	2009-09-08

TX RA
APPROVED_RES

Since 2013-02-26
CA RA
APPROVED

Since 2009-09-08

Branch Locations

Sherman Oaks, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Lpl Financial, Llc	Sherman Oaks	CA	09/2009	Present

09/2009 → Present

Lpl Financial, Llc

Sherman Oaks, CA

Previous Registrations

1998-10-07 → 2009-10-13

Associated Planners Investment Advisory Inc

Sherman Oaks, CA
2002-07-08 → 2009-09-08

Associated Securities Corp.

Sherman Oaks, CA

Other Businesses

1. 2/26/2018 - Trust - Not Investment Related - 4536 Mary Ellen Ave, Sherman Oaks, CA 91423 - Act in a Fiduciary Capacity - Started 09/26/1997 - 0 Hours Per Month.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1998-10-01

S66 Uniform Combined State Law Examination

1998-10-01

View on SEC IAPD