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Thomas Niles

LPL Financial LLC
34 Years of Experience
Saratoga Springs, NY
3 DisclosuresBroker
View SEC Summary
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Thomas Niles is a registered investment advisor at LPL Financial LLC, based in Saratoga Springs, NY, 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

340 Broadway Ste 3, Saratoga Springs, NY, 12866

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History

Regulatory History (3)
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.
Regulatory
June 2020
Final
Regulatory
September 2018
Final
Regulatory
February 2018
Final
View Full SEC ReportHow to Read Disclosures
Other 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
October 2025 - Present · 1 yr
LPL Financial LLC
October 2025 - Present · 1 yr
Previous Registrations
Janney Montgomery Scott LLC
September 2015 - October 2025 · 10 yrs 1 mo
Janney Montgomery Scott LLCBroker
September 2015 - October 2025 · 10 yrs 1 mo
Morgan StanleyBroker
June 2009 - September 2015 · 6 yrs 3 mos
Morgan Stanley & CO. IncorporatedBroker
March 2009 - June 2009 · 3 mos
Wachovia Securities, LLCBroker
July 2003 - March 2009 · 5 yrs 8 mos
Prudential Securities IncorporatedBroker
April 2000 - July 2003 · 3 yrs 3 mos
Salomon Smith Barney INC.Broker
November 1995 - April 2000 · 4 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1992 - November 1995 · 3 yrs 2 mos
State Registrations18 states
CACTDEFLGAILMENCNHNJNYOHPASCTXVAVTWI
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.
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