Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Hunt Spalding is a financial advisor with LPL Financial LLC. Thomas has been in the financial industry since October 4, 1994. Thomas is registered as a Registered Representative (RA) in Illinois. Thomas is also registered as an Investment Adviser Representative (IAR) in Illinois. Prior to joining LPL Financial LLC, Thomas was employed at BMO HARRIS FINANCIAL ADVISORS, INC., HarrisDirect LLC, Harris InvestorLine Inc., Ameritas Investment Corp., Harris InvestorLine, Harris Investors Direct, Inc., Laughlin Group Advisors, Inc., and First Chicago Investment Services, Inc. Thomas has a total of 25 approved state registrations.
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
IL
03/24/2021 - Present
LPL Financial LLC (CHICAGO IL)
IL
12/14/2005 - 03/24/2021
BMO HARRIS FINANCIAL ADVISORS, INC. (CHICAGO IL)
NJ
05/01/2002 - 12/31/2005
HARRISDIRECT LLC (JERSEY CITY NJ)
WA
12/09/2000 - 05/01/2002
HARRIS INVESTORLINE INC. (SEATTLE WA)
NE
04/29/1998 - 03/07/2002
AMERITAS INVESTMENT CORP. (LINCOLN NE)
IL
04/15/2000 - 12/09/2000
HARRIS INVESTORLINE (CHICAGO IL)
IL
10/26/1995 - 04/15/2000
HARRIS INVESTORS DIRECT, INC. (CHICAGO IL)
NE
10/31/1995 - 04/30/1998
LAUGHLIN GROUP ADVISORS, INC. (LINCOLN NE)
IL
10/05/1994 - 11/03/1995
FIRST CHICAGO INVESTMENT SERVICES, INC. (CHICAGO IL)
IA
Issued 06/16/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/01/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/04/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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