Thomas Shupe
Thomas Shupe is a registered investment advisor at LPL Financial LLC, based in Oakland, ME, with 30 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
46 First Park Dr Ste B, Oakland, ME, 04963
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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 his LPL business through Gateway Financial Partners and Dirigo Wealth Management. He also has a business entity, ALZ Enterprises LLC, for tax/investment purposes, dedicating nearly full-time hours to it.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
AXA Advisors, LLCBroker
AXA Advisors, LLC
Edward Jones
Edward JonesBroker
Franklin/templeton Distributors, INC.Broker
Amsouth Investment Management Company LLC
Amsouth Investment Services, INC.Broker
Stephens INC.Broker
Franklin/templeton Distributors, INC.Broker
Pruco Securities CorporationBroker
Dean Witter Reynolds INC.Broker
Pruco Securities CorporationBroker
The Prudential Insurance Company of AmericaBroker
State Registrations27 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.