Thomas Niles
Thomas Niles is a registered investment advisor at LPL Financial LLC, based in Saratoga Springs, NY, with 33 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
340 Broadway Ste 3, Saratoga Springs, NY, 12866
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Regulatory History (3)
Regulatory
June 2020Regulatory
September 2018Regulatory
February 2018Other Business Activities
Thomas is a board member for a homeowner's association in Clifton Park, NY, since 2020, helping manage neighborhood functions and maintenance. This activity is not investment-related, uncompensated, and requires minimal time.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Janney Montgomery Scott LLC
Janney Montgomery Scott LLCBroker
Morgan StanleyBroker
Morgan Stanley & CO. IncorporatedBroker
Wachovia Securities, LLCBroker
Prudential Securities IncorporatedBroker
Salomon Smith Barney INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations18 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.