Thomas Harden is a registered investment advisor at LPL Financial LLC, based in Staten Island, NY, with 39 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
Staten Island, NY
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
LPL Financial LLC
Previous Registrations
UBS Financial Services INC.Broker
UBS Financial Services INC.
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Harden, Thomas JosephBroker
U.S. Clearing CORP.Broker
Prudential Securities IncorporatedBroker
Adler, Coleman & Co.,inc.Broker
The Nikko Securities CO. International, INC.Broker
Atalanta/sosnoff Management CorporationBroker
Edward A. Viner & CO., INC.Broker
Drexel Burnham Lambert IncorporatedBroker
Becker Paribas IncorporatedBroker
State Registrations53 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.