Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Dudley Frost is a financial advisor registered with LPL Financial LLC. Thomas has been in the financial industry since 1997 and has held licenses in various states. His current registrations include Series 7 and Series 63 in California, along with other licenses in several states. Thomas has worked for Prudential Securities Incorporated and LPL Financial LLC, where he provides financial planning and other services. His previous experience at Prudential Securities Incorporated includes an inactive Broker-Dealer scope and inactive Investment Adviser scope. Thomas has a history of working with a diverse clientele including high-net-worth individuals, charitable organizations, corporations, and pension plans.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
09/03/2003 - Present
LPL Financial LLC (FRESNO CA)
NY
08/13/1996 - 09/06/2002
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 09/18/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/27/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/12/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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