Thomas Ellis is a registered investment advisor at LPL Financial LLC, based in Ventura, CA, with 22 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
950 Country Square Dr Ste 106, Ventura, CA, 93003-5449
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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.
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Thomas is involved with Ellis & Ellis, Inc. for tax/investment purposes, dedicating minimal time. He also operates under the DBA Golden Oak Wealth Management for his LPL business.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Securities America Advisors, INC.
Arbor Point Advisors
Securities America, INC.Broker
Foothill Securities, INC.
Foothill Securities, INC.Broker
Park Avenue Securities LLC
Park Avenue Securities LLCBroker
MML Investors Services, INC.
MML Investors Services, INC.Broker
State Registrations13 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.