Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Varga is a financial advisor with LPL Financial LLC. He has been in the financial services industry since 1987. His prior employment includes Cadaret, Grant & Co., Inc., AIG Equity Sales Corp., MML Investors Services, Inc., and Manequity, Inc.. Thomas has passed the following exams: Series 6, Series 22, Series 52, Series 62, Series 63, Series 24, and the SIE. He holds registrations in Arizona, California, Colorado, Florida, Georgia, Idaho, Illinois, Indiana, Iowa, Louisiana, Maryland, Michigan, Minnesota, New Mexico, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, Tennessee, Texas, Virginia, Washington, and Wisconsin. Thomas also has a designation as a Chartered Financial Consultant.
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
IN
09/26/2019 - Present
LPL Financial LLC (SOUTH BEND IN)
IN
01/02/1998 - 09/27/2019
CADARET, GRANT & CO., INC. (SOUTH BEND IN)
NY
11/24/1997 - 01/02/1998
AIG EQUITY SALES CORP. (NEW YORK NY)
MA
10/15/1997 - 12/04/1997
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
MA
06/09/1993 - 10/09/1997
MANEQUITY, INC. (BOSTON MA)
MA
03/01/1996 - 07/28/1997
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
NA
01/09/1987 - 03/01/1996
G. R. PHELPS & CO., INC.
BC
Issued 12/04/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/01/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/21/1990
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 01/19/1990
Series 52 - Municipal Securities Representative Examination
BC
Issued 10/20/1987
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 12/04/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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