Thomas Topper
Thomas Topper is a registered investment advisor at LPL Enterprise, LLC, based in The Villages, FL, with 39 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 86,726 clients with $19B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPLE provides access to investment management through third-party asset management programs (TAMPs) and LPL's Model Wealth Portfolios (MWP). For TAMPs, the fees are negotiated with the LPLE representative, typically up to 2% of the assets managed, but may be higher in certain circumstances. The TAMP sponsor also charges a fee. For MWP, clients are charged an annual account fee that includes an advisory fee (maximum 2.35% and is negotiable) and a manager fee (0% to 0.60%).
Location
The Villages, FL
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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 →Other Business ActivitiesSells Insurance
Thomas receives non-variable insurance commission trails, health, and life insurance renewals through Topper Financial Insurance and Financial Services since 2016, but spends no time on it currently. He also volunteers with the Williamsville Preservation Foundation, dedicating minimal time each month.
Employment History
Current Registrations
LPL Enterprise, LLC
LPL Enterprise, LLCBroker
Previous Registrations
Prudential Financial Planning Services
Prudential Financial Planning Services
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
State Registrations7 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.