Thomas Newbrey
Thomas Newbrey is a registered investment advisor at LPL Financial LLC, based in Charlotte, NC, with 35 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
Charlotte, NC
Get directionsHistory
Regulatory History (1)
Customer Dispute
June 2002Other Business Activities
Thomas operates under the DBA Legacy Wealth & Retirement Planners, LLC since 2009. He also has a business entity, TRN Asset Mgt, for tax/investment purposes, dedicating about 10-20% of his time, with a few hours per week during trading.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Banc of America Investment Services, INC.Broker
Banc of America Investment Services, INC.
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Lehman Brothers INC.Broker
The Stuart-James Company, IncorporatedBroker
State Registrations13 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.