Thomas Varga is a ChFC-designated registered investment advisor at LPL Financial LLC, based in South Bend, IN, 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
53700 Generations Drive, South Bend, IN, 46635
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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.
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Thomas operates his LPL business under the DBA Financial Associates, and also provides tax preparation/accounting services. He is involved in real estate rental through TICK LLC and GNLT5 LLC, and uses Thomas J VARGA JR LLC for tax/investment purposes; these activities take minimal time overall.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Cadaret Grant & CO INC
Cadaret, Grant & CO., INC.Broker
Aig Equity Sales CORP.Broker
MML Investors Services, INC.Broker
MML Investors Services, INC.Broker
Manequity, INC.Broker
G. R. Phelps & CO., INC.Broker
State Registrations24 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.