Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Edward Shupe is a financial advisor with over 25 years of experience in the industry. Thomas is registered to provide financial advice in 28 states including Connecticut, Maine, and Texas and holds Series 6, 7, 24, 63, and 66 licenses. Currently, Thomas is affiliated with LPL Financial LLC. Prior to joining LPL, Thomas was registered with AXA Advisors, LLC, Edward Jones, Franklin/Templeton Distributors, Inc., and Stephens Inc.
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.
1
2
ME
11/27/2023 - Present
LPL Financial LLC (OAKLAND ME)
CT
09/16/2019 - 03/12/2020
AXA ADVISORS, LLC (SHELTON CT)
MO
04/16/2018 - 06/19/2018
EDWARD JONES (ST. LOUIS MO)
FL
12/20/2005 - 09/18/2017
FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (ST. PETERSBURG FL)
FL
05/19/2005 - 11/29/2005
AMSOUTH INVESTMENT SERVICES, INC. (OLDSMAR FL)
AR
05/19/2004 - 03/01/2005
STEPHENS INC. (LITTLE ROCK AR)
CA
05/26/1998 - 05/14/2004
FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (SAN MATEO CA)
NJ
09/22/1993 - 02/03/1994
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NY
12/21/1992 - 07/16/1993
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NJ
12/09/1988 - 09/11/1992
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
12/09/1988 - 09/11/1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
BOTH
Issued 05/05/2018
Series 66 - Uniform Combined State Law Examination
IA
Issued 09/21/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/10/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 06/19/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/29/2001
Series 7 - General Securities Representative Examination
BC
Issued 11/11/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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