Thomas Dooley, financial advisor West Palm Beach FL
93 score

Thomas Dooley

CRD Number: 1857236
Current Firm: Lpl Financial LLC

Thomas Dooley (CRD# 1857236) is an Investment Advisor Representative working at Lpl Financial LLC in West Palm Beach, FL and has over 28 years of experience in the finance industry.

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Company Name Location Dates Years
Lpl Financial LLC West Palm Beach, FL Jun 2015 - Current 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Weston, FL Oct 2011 - Jun 2015 3
Bank Of America, N.a. Weston, FL Oct 2011 - Jun 2015 3
Lpl Financial LLC Boca Raton, FL Aug 2011 - Oct 2011 < 1
Unemployed Jupiter, FL Mar 2011 - Aug 2011 < 1
Chase Investment Services Corp Jupiter, FL Sep 2009 - Mar 2011 1
Unemployed West Palm Beach, FL Feb 2009 - Aug 2009 < 1
Wachovia Securities, LLC Boca Raton, FL Jun 2003 - Jan 2009 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 1988
S65 NASAA Investment Advisors Law Examination Dec 1999
Contact Info for Thomas P. Dooley
Phone Number: 617-423-3644
Firm Website: http://www.lpl.com
Registered State(s):
  • FL
By the Numbers
  • Total Assets Under Management
    112,086
    MILLIONS
  • Total Number of Accounts
    531,091
    ACCOUNTS
  • Average Account Value
    $211,049
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

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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