Thomas Smith
Thomas Smith is a registered investment advisor at LPL Financial LLC, based in Louisville, KY, with 24 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
8134 New La Grange Rd Ste 202, Louisville, KY, 40222
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Thomas operates under the DBA Wealthline Financial Advisors for his LPL business. He also has a business entity, T Smith Enterprises, LLC, for tax/investment purposes and sells non-variable insurance through Midland National Life Insurance Company.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Waddell & ReedBroker
Waddell & Reed
Private Client Services, LLCBroker
Private Client Services, LLC
First Allied Advisory Services, INC.
First Allied Securities, INC.Broker
Private Client Services, LLCBroker
Private Client Services, LLC
MML Investors Services, LLC
MML Investors Services, LLCBroker
Metlife Securities INC.
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
Fifth Third Securities, INC.Broker
Morgan Stanley Dw INC.Broker
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
State Registrations15 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.