TrueAdvisor
TrueAdvisor
TS
ChFC
TS
ChFC

Thomas Sim

LPL Financial LLC
32 Years of Experience
Laguna Beach, CA
BrokerSells Insurance
View SEC Summary
View SEC Summary

Thomas Sim is a ChFC-designated registered investment advisor at LPL Financial LLC, based in Laguna Beach, CA, with 32 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
28129 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

920 Glenneyre #A, Laguna Beach, CA, 92651

Get directions

History

Regulatory History
Clean regulatory record

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 ActivitiesSells Insurance

Thomas sells non-variable insurance products, including life, disability, long-term care, and group health insurance through Crump since 1990. This investment-related activity takes about half of his time.

Employment History
Current Registrations
LPL Financial LLC
May 2024 - Present · 2 yrs 5 mos
LPL Financial LLCBroker
May 2024 - Present · 2 yrs 5 mos
Previous Registrations
Lincoln Financial Securities Corporation
May 2004 - May 2024 · 20 yrs
Lincoln Financial Securities CorporationBroker
May 2004 - May 2024 · 20 yrs
Securian Financial Services, INC.
February 2003 - May 2004 · 1 yr 3 mos
Securian Financial Services, INC.Broker
June 1994 - May 2004 · 9 yrs 11 mos
State Registrations19 states
AZCACOFLGAHIILMDMIMONMNVNYPASDTXWAWVWY
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 Laguna Beach, CA →All financial advisors in California →