Thomas Asta is a registered investment advisor at LPL Financial LLC, based in Jericho, NY, with 32 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
One Jericho Plaza, Jericho, NY, 11753
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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.
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Thomas operates his LPL business under the DBA Webster Investments since 2022. This activity is investment-related.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Financial Resources Group Investment Services, LLCBroker
Cetera Investment Advisers LLC
Cetera Investment Services LLCBroker
Cetera Advisor Networks LLC
Cetera Advisor Networks LLCBroker
Signature Securities Group CORP.
Signature SecuritiesBroker
LPL Financial LLC
LPL Financial LLCBroker
Capital One Financial Advisors LLC
Capital One Investment Services LLCBroker
Hsbc Brokerage (USA) INC.Broker
Republic Financial Services CorporationBroker
The Dreyfus Service CorporationBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Kensington Wells IncorporatedBroker
Stratton Oakmont INC.Broker
State Registrations10 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.