Thomas Neess is a registered investment advisor at LPL Financial LLC, based in Mason, OH, with 36 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
8118 Corporate Way, Suite 165, Mason, OH, 45040
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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 operates an insurance agency as a sole proprietorship, dedicating minimal time to sales and earning commissions. He also provides investment advisory services through Private Advisor Group, spending nearly full-time on this activity.
Employment History
Current Registrations
Private Advisor Group, LLC
LPL Financial LLCBroker
Previous Registrations
Sterne Agee Investment Advisor Services, INC.
Sterne Agee Financial Services, INC.Broker
Sterne Agee Investment Advisor Services, INC.
Wrp Investments, INC.Broker
Painewebber IncorporatedBroker
Lehman Brothers INC.Broker
State Registrations15 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.