Thomas Gregg is a registered investment advisor at LPL Financial LLC, based in Latham, NY, with 9 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
3 Lear Jet Ln Ste 201 N, Latham, NY, 12110
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Regulatory History (1)
Criminal
September 2010Other Business Activities
Thomas operates under the DBAs Empire Financial Advisors and Legacy Wealth Group for his LPL business. He also has a business entity, Gregg Family Advisors Inc., for tax/investment purposes, requiring minimal time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations8 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.