Thomas Spalding
Thomas Spalding is a registered investment advisor at LPL Financial LLC, based in Chicago, IL, 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
Location
320 S. Canal Street, Chicago, IL, 60606
Get directionsHistory
Regulatory History (2)
Customer Dispute
November 2008Customer Dispute
May 2005Other Business Activities
Thomas operates under the DBA BMO Investment Services for his LPL business since 2021. This activity is investment-related.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
BMO Harris Financial Advisors, INC
BMO Harris Financial Advisors, INC.Broker
Harrisdirect LLCBroker
Harrisdirect LLC
Harris Investorline INC.Broker
Harris InvestorlineBroker
Ameritas Investment CORP.Broker
Laughlin Group Advisors, INC.Broker
Harris Investors Direct, INC.Broker
First Chicago Investment Services, INC.Broker
State Registrations27 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.
Exams
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