Thomas M. Dilello
Professional summary
Thomas Michael Dilello JR was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas Michael Dilello JR, who also goes by Thomas Michael Dilello, was a registered financial advisor .
Thomas is a previously registered financial advisor and started their career in finance in 1985. Thomas had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
August 27, 2014 - April 9, 2015
LPL FINANCIAL LLC
August 26, 2014 - April 9, 2015
LPL FINANCIAL LLC
November 1, 2010 - August 20, 2014
WELLS FARGO CLEARING SERVICES, LLC
October 29, 2010 - August 20, 2014
WELLS FARGO CLEARING SERVICES, LLC
August 10, 2005 - November 11, 2010
TRUIST INVESTMENT SERVICES, INC.
August 3, 2005 - November 11, 2010
TRUIST INVESTMENT SERVICES, INC.
August 19, 2004 - June 28, 2005
M&T SECURITIES, INC.
June 3, 2002 - June 28, 2005
M&T SECURITIES, INC.
October 23, 2001 - June 19, 2002
WAYPOINT BROKERAGE SERVICES
November 17, 1994 - August 16, 2001
PNC BROKERAGE CORP
June 27, 1994 - November 8, 1994
ALLSTATE FINANCIAL SERVICES, LLC
August 28, 1992 - June 23, 1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 27, 1992 - June 23, 1994
OSAIC FA, INC.
June 18, 1992 - September 9, 1992
NEW ENGLAND SECURITIES
May 15, 1990 - December 5, 1991
HOMESTEAD CAPITAL CORPORATION
April 6, 1988 - May 15, 1990
ASSET MANAGEMENT EQUITIES, LTD.
June 24, 1986 - April 6, 1988
T.H. LEHMAN SECURITIES CORPORATION
January 9, 1985 - June 24, 1986
ATLANTIC SECURITIES, 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.
