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Thomas Vangeffen

LPL Financial LLC
39 Years of Experience
Slidell, LA
1 DisclosureBroker
View SEC Summary
View SEC Summary

Thomas Vangeffen is a registered investment advisor at LPL Financial LLC, based in Slidell, LA, with 39 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.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

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
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1338 Gause Blvd. Ste 203, Slidell, LA, 70458

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2003
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Thomas operates his LPL business through Van Geffen Group LLC, dedicating full-time hours to it. He also has ownership in real estate rental properties and a restaurant, but spends minimal or no time on these ventures.

Employment History
Current Registrations
LPL Financial LLC
October 2018 - Present · 8 yrs
LPL Financial LLCBroker
October 2018 - Present · 8 yrs
Previous Registrations
Raymond James Financial Services Advisors, INC
January 2009 - October 2018 · 9 yrs 9 mos
Raymond James Financial Services
August 2008 - January 2009 · 5 mos
Raymond James Financial Services, INC.Broker
November 2005 - October 2018 · 12 yrs 11 mos
Pan-American Financial AdvisersBroker
March 2002 - November 2005 · 3 yrs 8 mos
Raymond James Financial Services, INC.Broker
August 1996 - March 2002 · 5 yrs 7 mos
Edward D. Jones & CO., L.P.Broker
October 1986 - August 1996 · 9 yrs 10 mos
State Registrations19 states
AKALARAZCACOFLGAILKYLAMIMSNCNVOKSCTNTX
AdvisorBrokerBoth

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
No exam information available for this advisor.
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