Thomas Phillips, financial advisor Middletown OH

Thomas Phillips

CRD Number: 2650010
Current Firm: Lpl Financial LLC

Thomas Phillips (CRD# 2650010) is an Investment Advisor Representative working at Lpl Financial LLC in Middletown, OH and has over 28 years of experience in the finance industry.

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Company Name Location Dates Years
Lpl Financial, LLC Middltown, OH May 2021 - Current 2
First Allied Advisory Services Schaumburg, IL Nov 2020 - May 2021 < 1
First Allied Securities, Inc. Franklin, OH May 2008 - May 2021 13
First Allied Advisory Services, Inc. Franklin, OH May 2008 - Nov 2020 12
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 1995
S65 NASAA Investment Advisors Law Examination Oct 1995
S66 NASAA Uniform Combined State Law Examination Jul 2013
Contact Info for Thomas M. Phillips
Phone Number: 704-733-3300
Registered State(s):
  • OH
By the Numbers
  • Total Assets Under Management
    368,019
    MILLIONS
  • Total Number of Accounts
    1,688,501
    ACCOUNTS
  • Average Account Value
    $217,956
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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