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Thomas Harkins

29 Years of Experience
Londonderry, NH
1 DisclosureBroker

Thomas Harkins is a registered investment advisor at LPL Financial LLC, based in Londonderry, NH, with 29 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
27420 advisors
Number of Clients
1,676,192 clients
Average Client Portfolio
$369K average
Assets Under Management
$618.9B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)

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.

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Location

50 Nashua Rd Ste 202, Londonderry, NH, 03053

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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.
Customer Dispute
November 2016
Closed-No Action
Employment History
Current Registrations
LPL Financial LLC
January 2006 - Present · 20 yrs 4 mos
LPL Financial LLCBroker
January 2006 - Present · 20 yrs 4 mos
Previous Registrations
Ameriprise Financial Services, INC.
July 1997 - January 2006 · 8 yrs 6 mos
Ameriprise Financial Services, INC.Broker
May 1996 - January 2006 · 9 yrs 8 mos
Ids Life Insurance CompanyBroker
May 1996 - January 2006 · 9 yrs 8 mos
State Registrations17 states
CACTFLGAILLAMAMEMNMTNHNJOHRISCVTWA
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.
Thomas Harkins - Financial Advisor | TrueAdvisor