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Thomas Dame Siplin

LPL Enterprise, LLC

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About Thomas Dame Siplin

Thomas Dame Siplin is an investment advisor representative at LPL Enterprise, LLC. Thomas has been in the industry since 2010, and is registered with the state of Florida and Texas as an investment advisor representative. Thomas has passed the Series 6, 7, 63 and 65 exams. Thomas has previous experience with NYLIFE Securities LLC.

Firm Information

Thomas Siplin is currently registered with LPL Enterprise, LLC. LPL Enterprise, LLC is a Limited Liability Company registered in South Carolina and formed on May 25, 2023. They offer financial planning, educational seminars, portfolio management for individuals and businesses, and other consulting and non-discretionary advisory services. The firm is registered with the SEC and in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. They have a total of 55 registered representatives and 12 investment advisor representatives. The firm participates in wrap fee programs.
LPL Enterprise, LLC

1055 LPL WAY

FORT MILL, SC 29715

Not reported

Assets Under Management

Not reported

Total Clients

50

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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consulting and other non-discretionary advisory services

Consulting and other non-discretionary advisory services

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Thomas Siplin’s Registration & Firm History

FL

01/18/2025 - Present

LPL Enterprise, LLC (FORT PIERCE FL)

FL

01/20/2010 - 10/07/2014

NYLIFE SECURITIES LLC (FORT PIERCE FL)

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Licenses & Designations

BC

Issued 01/06/2020

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 01/20/2016

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/17/2014

Series 7 - General Securities Representative Examination

BC

Issued 01/19/2010

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Dame Siplin.
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