David Thomas
David Thomas is a registered investment advisor at LPL Financial LLC, based in Parrish, FL, with 23 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
Parrish, FL
Get directionsHistory
Regulatory History (3)
Judgment / Lien
September 2017Customer Dispute
April 2015Customer Dispute
January 2007Other Business ActivitiesSells Insurance
David operates Vaughn Asset Advisory, LLC as a DBA for his LPL business. He also has Vaughn Asset Advisory Agency LLC for non-variable life and health insurance trails, and is the President/managing member of Vaughn Asset Advisory Agency LLC, an insurance agency, dedicating minimal time to each.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Ameritas Advisory Services, LLC
Ameritas Advisory Services
Ameritas Investment Company, LLCBroker
Cetera Advisor Networks LLC
Cetera Advisor Networks LLCBroker
Bok Financial Securities, INC.Broker
Bok Financial Advisors
Wells Fargo Advisors, LLCBroker
Wells Fargo Advisors, LLC
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Citigroup Global Markets INC.Broker
Citigroup Global Markets INC.
Bear, Stearns & CO. INC.
Bear, Stearns & CO. INC.Broker
Merrill Lynch Pierce Fenner & Smith INC.
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations10 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.