Thomas Brophy
Thomas Brophy is a registered investment advisor at LPL Financial LLC, based in Mt. Pleasant, SC, with 38 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
210 Wingo Way #300, Mt. Pleasant, SC, 29464
Get directionsHistory
Regulatory History (2)
Customer Dispute
February 2019Customer Dispute
June 1997Other Business Activities
Thomas is associated with Financial Advocacy Network, GSF Properties (real estate rental), and Legacy Wealth Management. He also spends about half his time as a registered investment advisor with Maryland Financial Group, Inc.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Maryland Financial Group, INC.
Fsc Securities Corporation
Fsc Securities CorporationBroker
Scott & Stringfellow, LLC
Scott & Stringfellow, LLCBroker
Presidential Brokerage, INC.Broker
Waldron & CO., INC.Broker
Dean Witter Reynolds INC.Broker
J.C. Bradford & CO.Broker
Interstate/johnson Lane CorporationBroker
Johnson, Lane, Space, Smith & CO., INC.Broker
The Stuart-James Company, INC.Broker
State Registrations10 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.