Tom Barclay is a CFP-designated registered investment advisor at LPL Financial LLC, based in Bartlesville, OK, with 34 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
302 S Osage Ave, Bartlesville, OK, 74003
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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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.