Thomas Carlson is a registered investment advisor at LPL Financial LLC, based in Walnut Creek, CA, 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
1981 N Broadway Ste 320, Walnut Creek, CA, 94596
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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 The Carlson Family Trust, spending minimal time on it. He also operates under the DBA Thomas Carlson and Associates for his LPL business.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Cetera Advisors LLC
Cetera Advisors LLCBroker
Ameriprise Financial Services, INC.Broker
Ameriprise Financial Services, INC.
Centaurus Financial, INC.
Centaurus Financial, INC.Broker
Royal Alliance Associates, INC.Broker
Tower Square Securities, INC.Broker
Transamerica Financial Resources, INC.Broker
Pruco Securities CorporationBroker
The Prudential Insurance Company of AmericaBroker
State Registrations8 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.