Thomas Cooper
Thomas Cooper is a registered investment advisor at LPL Enterprise, LLC, based in Mayfield, KY, with 2 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 86,726 clients with $19B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPLE provides access to investment management through third-party asset management programs (TAMPs) and LPL's Model Wealth Portfolios (MWP). For TAMPs, the fees are negotiated with the LPLE representative, typically up to 2% of the assets managed, but may be higher in certain circumstances. The TAMP sponsor also charges a fee. For MWP, clients are charged an annual account fee that includes an advisory fee (maximum 2.35% and is negotiable) and a manager fee (0% to 0.60%).
Location
Mayfield, KY
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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 is involved in insurance brokering with outside carriers, focusing on non-registered products. This activity requires about a quarter of his time.
Employment History
Current Registrations
LPL Enterprise, LLC
LPL Enterprise, LLC
LPL Enterprise, LLCBroker
Previous Registrations
Eagle Strategies LLC
Nylife Securities LLCBroker
Bankers Life Advisory Services, INC.
Bankers Life Securities, INC.Broker
State Registrations9 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.