Thomas W. Devine
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 Wayne Devine, who also goes by Tom Devine, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1986. Thomas had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 22, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2017 - June 14, 2017
LPL FINANCIAL LLC
April 25, 2016 - March 14, 2017
LPL FINANCIAL LLC
April 25, 2016 - March 14, 2017
LPL FINANCIAL LLC
July 1, 2014 - December 31, 2015
TLG ADVISORS, INC.
July 1, 2014 - December 31, 2015
THE LEADERS GROUP, INC.
January 2, 2014 - June 18, 2014
LPL FINANCIAL LLC
January 2, 2014 - June 18, 2014
LPL FINANCIAL LLC
April 4, 2013 - December 31, 2013
PARK AVENUE SECURITIES LLC
January 16, 2013 - December 31, 2013
PARK AVENUE SECURITIES LLC
March 2, 2012 - December 19, 2012
P.J. ROBB VARIABLE, LLC
October 5, 2010 - February 18, 2011
CHASE INVESTMENT SERVICES CORP.
October 5, 2010 - February 18, 2011
CHASE INVESTMENT SERVICES CORP.
October 15, 2009 - September 28, 2010
EDWARD JONES
October 12, 2009 - September 28, 2010
EDWARD JONES
October 7, 2008 - September 8, 2009
CAPITAL BROKERAGE CORPORATION
May 24, 2000 - September 17, 2008
GUARDIAN INVESTOR SERVICES LLC
February 5, 1999 - May 12, 2000
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
August 9, 1988 - January 6, 1999
AMERITAS INVESTMENT COMPANY, LLC
November 12, 1986 - December 22, 1987
RETIREMENT INVESTMENT GROUP
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.
