TrueAdvisor
TrueAdvisor
TF
TF

Thomas Frame

LPL Financial LLC
34 Years of Experience
Morgantown, WV
1 DisclosureBroker
View SEC Summary
View SEC Summary

Thomas Frame is a registered investment advisor at LPL Financial LLC, based in Morgantown, WV, with 34 years of industry experience. Thomas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

449 Fortress Blvd Ste 1, Morgantown, WV, 26508

Get directions

History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
April 2011
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Thomas has business ownership in an entity at PO Box 1384 in Morgantown, WV since 2002. He spends minimal time on this activity, and it is not investment-related.

Employment History
Current Registrations
LPL Financial LLC
January 2026 - Present · 9 mos
LPL Financial LLC
January 2026 - Present · 9 mos
LPL Financial LLCBroker
January 2026 - Present · 9 mos
Previous Registrations
Ameriprise Financial Services, LLC
October 2013 - January 2026 · 12 yrs 3 mos
Ameriprise Financial Services, LLCBroker
October 2013 - January 2026 · 12 yrs 3 mos
Saxony Capital Management, LLC
June 2011 - October 2013 · 2 yrs 4 mos
Saxony Securities, INC.Broker
May 2011 - October 2013 · 2 yrs 5 mos
Raymond James Financial Services Advisors, INC
January 2009 - April 2011 · 2 yrs 3 mos
Raymond James Financial Services
October 1999 - January 2009 · 9 yrs 3 mos
Raymond James Financial Services, INC.Broker
July 1999 - April 2011 · 11 yrs 9 mos
Parker/hunter IncorporatedBroker
October 1991 - July 1999 · 7 yrs 9 mos
State Registrations10 states
AKFLIDNVOHPASCVAWAWV
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Morgantown, WV →All financial advisors in West Virginia →