Thomas Bausley
Thomas Bausley is a registered investment advisor at LPL Financial LLC, based in San Diego, CA, with 30 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
4707 Executive Dr, San Diego, CA, 92121-3091
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Regulatory History (1)
Financial
October 2017Other Business ActivitiesSells Insurance
Thomas sells fixed insurance products including life, health, disability, annuities, long-term care, and voluntary benefits, dedicating a full-time amount of time to this. He also owns Bausley Financial Services and is a business consultant for Serendipity Sports and a sales rep for College Funding Solutions.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Cetera Investment Advisers LLC
Cetera Advisor Networks LLC
Cetera Wealth Services, LLCBroker
Questar Capital CorporationBroker
Questar Asset Management, INC.
Sammons Securities Company, LLCBroker
Spc
Woodbury Financial Services, INC.
Woodbury Financial Services, INC.Broker
Wma Securities, INC.Broker
PFS Investments INC.Broker
State Registrations9 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.