Thomas Ewig is a registered investment advisor at LPL Financial LLC, based in Mequon, WI, with 6 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
11715 N Port Washington Rd, Mequon, WI, 53092
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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 operates his LPL business under the DBA Five Nine Wealth Management. He also works in basketball and softball, dedicating about 10-20% of his time to this non-investment related activity.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Mutual of America Securities LLCBroker
Mutual of America Life Insurance CompanyBroker
Securian Financial Services, INC.
Securian Financial Services, INC.Broker
State Registrations2 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.