Thomas C. Pitrone
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 Carmen Pitrone, AIF®, CFP®, who also goes by Tom Pitrone, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1988
Experience
September 2, 2022 - May 8, 2025
LPL FINANCIAL LLC
August 30, 2022 - May 8, 2025
LPL FINANCIAL LLC
April 16, 2013 - September 1, 2022
CETERA WEALTH SERVICES, LLC
April 12, 2013 - September 1, 2022
CETERA WEALTH SERVICES, LLC
January 14, 2004 - April 1, 2013
OSAIC WEALTH, INC.
January 8, 2004 - April 1, 2013
OSAIC WEALTH, INC.
July 7, 2000 - December 31, 2003
WRP INVESTMENTS, INC.
June 26, 1991 - December 31, 2003
WRP INVESTMENTS, INC.
May 27, 1988 - June 6, 1991
WALNUT STREET SECURITIES, INC.
November 16, 1987 - November 18, 1987
WOODBURY FINANCIAL SERVICES, INC.
January 31, 1987 - November 17, 1987
AETNA LIFE INSURANCE AND ANNUITY COMPANY
July 26, 1984 - January 28, 1988
JOHN HANCOCK DISTRIBUTORS LLC
September 26, 1983 - June 25, 1984
WRP INVESTMENTS, 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.
