Thomas Small
Thomas Small is a CFP-designated registered investment advisor at LPL Financial LLC, based in East Lansing, MI, with 37 years of industry experience. Thomas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.
Fee Estimator
Location
735 W Lake Lansing Rd Ste 100, East Lansing, MI, 48823
Get directionsHistory
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 operates Michigan Money Management Advisers LLC as a DBA for his LPL business. He also sells non-variable insurance/term life through Prudential, dedicating minimal time to this activity.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Osaic Wealth, INC.Broker
Michigan Money Management Advisers, LLC
Triad Advisors LLCBroker
Michigan Money Management Advisers, LLC
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
AXA Advisors, LLCBroker
The Equitable Life Assurance Society of the United StatesBroker
Security First Financial, INC.Broker
440 Financial Distributors, INC.Broker
Bisys Fund Services Limited PartnershipBroker
First of America Brokerage Service, INC.Broker
Prescott, Ball & Turben, INC.Broker
Transco SecuritiesBroker
Wellshire Securities, INC.Broker
Security Pacific Brokers, INC.Broker
The Stuart-James Company, INC.Broker
State Registrations16 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.
Exams
More Advisors
- Kirk SempsrottLPL Financial LLC
- David Hart, CFPLPL Financial LLC
- Travis PasmaLPL Financial LLC
- Gregory Hagbom, ChFCLPL Financial LLC
- Richard Johnston, ChFCLPL Financial LLC
- Mallory Griffin, CFPPlante Moran Financial Advisors