Thomas L. Hyde
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Laidlaw Hyde was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1981. Thomas had worked at 15 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2020 - October 28, 2020
LPL FINANCIAL LLC
August 16, 2016 - December 8, 2017
MFR SECURITIES, INC.
June 2, 2016 - August 22, 2016
TRIBAL CAPITAL MARKETS, LLC
December 14, 2012 - May 6, 2016
MINT BROKERS
November 6, 2012 - May 3, 2016
BGC FINANCIAL, L.P.
February 17, 2009 - October 1, 2012
STANDARD CREDIT SECURITIES INC.
August 1, 2000 - February 9, 2009
NEWEDGE USA, LLC
July 1, 1998 - August 1, 2000
COWEN AND COMPANY
January 29, 1993 - July 1, 1998
FINANCIAL SQUARE PARTNERS
January 29, 1992 - January 20, 1993
W.A. CAPITAL MARKETS
February 28, 1991 - December 3, 1991
FUNDAMENTAL CORPORATE BOND BROKERS
October 24, 1989 - February 28, 1991
FUNDAMENTAL CORPORATE BOND BROKERS, INC.
November 26, 1986 - June 8, 1989
CANTOR, FITZGERALD MUNICIPAL BROKERS, INC.
November 29, 1985 - June 8, 1989
MINT BROKERS
February 25, 1985 - June 6, 1985
FUNDAMENTAL CORPORATE BOND BROKERS, INC.
July 11, 1983 - November 14, 1986
KMS CORPORATE BROKERS, INC.
March 23, 1981 - June 22, 1982
BERNARD HEROLD & CO., INC.
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.
