Thomas Dexter is a registered investment advisor at LPL Financial LLC, based in Norwalk, CT, with 26 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
Norwalk, CT
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Regulatory History (1)
Employment Separation After Allegations
May 2012Other Business Activities
Thomas operates his LPL business through Commonwealth Strategic Advisory LLC since 2014. Since March 2024, Thomas also works as a life coach for Iron Tribe Performance, dedicating a few hours per week.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Commonwealth Strategic Advisory
Barclays Capital INC.Broker
Barclays Capital INC.
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Lehman Brothers INC.
Lehman Brothers INC.Broker
Morgan Stanley & CO., Incorporated
Morgan Stanley & CO., IncorporatedBroker
Friedman, Billings, Ramsey & CO., INC.Broker
State Registrations5 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.