Thomas Minor is a registered investment advisor at LPL Financial LLC, based in Sherman Oaks, CA, 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
Sherman Oaks, CA
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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 acts in a fiduciary capacity for a trust since 1997. This activity is not investment-related and requires minimal time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Associated Securities CORP.
Associated Planners Investment Advisory INC
Associated Securities CORP.Broker
Bma Financial Services, INC.Broker
Mutual Benefit Financial Service CompanyBroker
State Registrations18 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.