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Thomas Bausley

LPL Financial LLC
31 Years of Experience
Richardson, TX
1 DisclosureBrokerSells Insurance
View SEC Summary
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Thomas Bausley is a registered investment advisor at LPL Financial LLC, based in Richardson, TX, with 31 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
—
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Location

Richardson, TX

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History

Regulatory History (1)
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.
Financial
October 2017
Final
View Full SEC ReportHow to Read Disclosures
Other 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
February 2026 - Present · 8 mos
LPL Financial LLC
February 2026 - Present · 8 mos
LPL Financial LLCBroker
February 2026 - Present · 8 mos
Previous Registrations
Cetera Investment Advisers LLC
June 2023 - February 2026 · 2 yrs 8 mos
Cetera Advisor Networks LLC
June 2018 - June 2023 · 5 yrs
Cetera Wealth Services, LLCBroker
January 2018 - February 2026 · 8 yrs 1 mo
Questar Capital CorporationBroker
October 2013 - December 2017 · 4 yrs 2 mos
Questar Asset Management, INC.
October 2013 - November 2014 · 1 yr 1 mo
Sammons Securities Company, LLCBroker
August 2011 - October 2013 · 2 yrs 2 mos
Spc
August 2011 - December 2012 · 1 yr 4 mos
Woodbury Financial Services, INC.
December 2002 - August 2011 · 8 yrs 8 mos
Woodbury Financial Services, INC.Broker
September 2000 - August 2011 · 10 yrs 11 mos
Wma Securities, INC.Broker
March 1997 - September 2000 · 3 yrs 6 mos
PFS Investments INC.Broker
May 1995 - March 1997 · 1 yr 10 mos
State Registrations9 states
CACOGAMANCNVNYSCTX
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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