Thomas Cochran
Thomas Cochran is a registered investment advisor at LPL Financial LLC, based in San Jose, CA, with 41 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
890 North First St, San Jose, CA, 95112
Get directionsHistory
Regulatory History (2)
Customer Dispute
October 2013Customer Dispute
September 2011Other Business Activities
Thomas has a DBA with BMO Investment Services for his LPL business. He also has outside W-2 employment with the Civil Service Commission City Government, spending minimal time on it.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Bancwest Investment Services, INC. (bwis)
Bancwest Investment Services, INC.Broker
Marketing One Securities, INC.Broker
Soares Financial Group, INC.Broker
Dean Witter Reynolds INC.Broker
State Registrations13 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.