Thomas H. Caniford
Professional summary
Thomas Howard Caniford was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial advisor and started their career in finance in 1982. Prior to being barred, Thomas had worked at 8 firms, which includes LPL FINANCIAL LLC, M HOLDINGS SECURITIES INC., CETERA ADVISORS LLC, VESTAX SECURITIES CORPORATION, MUTUAL SERVICE CORPORATION, LOWRY FINANCIAL SERVICES CORPORATION, ANCHOR NATIONAL FINANCIAL SERVICES INC., INTEGRATED RESOURCES EQUITY CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2008 - March 12, 2015
LPL FINANCIAL LLC
March 7, 2008 - March 12, 2015
LPL FINANCIAL LLC
June 7, 2004 - March 6, 2008
M HOLDINGS SECURITIES, INC.
March 3, 2004 - March 6, 2008
M HOLDINGS SECURITIES, INC.
January 1, 2004 - April 1, 2004
CETERA ADVISORS LLC
January 1, 2004 - April 1, 2004
CETERA ADVISORS LLC
December 7, 1999 - January 1, 2004
VESTAX SECURITIES CORPORATION
March 3, 1997 - January 1, 2004
VESTAX SECURITIES CORPORATION
June 4, 1991 - March 19, 1997
CETERA ADVISORS LLC
March 31, 1989 - June 7, 1991
MUTUAL SERVICE CORPORATION
June 27, 1984 - March 31, 1989
LOWRY FINANCIAL SERVICES CORPORATION
June 3, 1983 - May 18, 1984
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
June 21, 1982 - June 21, 1983
INTEGRATED RESOURCES EQUITY CORPORATION
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
