Tom Barclay is a CFP-designated registered investment advisor at LPL Financial LLC, based in Bartlesville, OK, with 34 years of industry experience. Tom 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
Location
302 S Osage Ave, Bartlesville, OK, 74003
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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 Activities
Tom is doing business as Ascendus Financial Advisors, which takes up all of his time. He also works for Scotts, Archambo, Mueggenborg & Barclay PC as a CPA, spending about 10-20% of his time on tax preparation and accounting during securities trading hours.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Cetera Advisors LLCBroker
Cetera Advisors LLC
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
H.D. Vest Advisory Services, INC
First Oklahoma Financial Planners, INC.
H.D. Vest Investment ServicesBroker
State Registrations21 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.
Exams
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