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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tom? Claim Your ProfileTom William Ochola is a financial advisor with LPL Financial LLC based in San Diego, CA. Tom has been in the financial services industry since 2006 and has a broad range of experience. Tom is a Series 66 licensed advisor and holds the Series 4, Series 7, Series 24 and SIE licenses. Tom has previously worked with TD Ameritrade and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Tom has experience in providing financial planning and portfolio management services for individuals and businesses.
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
08/16/2021 - Present
LPL Financial LLC (SAN DIEGO CA)
CA
03/06/2007 - 07/23/2021
TD AMERITRADE, INC. (SAN DIEGO CA)
NE
06/19/2018 - 12/31/2020
TD AMERITRADE CLEARING, INC. (OMAHA NE)
CA
08/23/2006 - 12/19/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN DIEGO CA)
BOTH
Issued 09/26/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/30/2021
Series 4 - Registered Options Principal Examination
BC
Issued 12/12/2017
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/22/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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