Thomas J. Ciolek
Professional summary
Thomas Jacob Ciolek was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Thomas had worked at 9 firms, which includes LPL FINANCIAL LLC, INVEST FINANCIAL CORPORATION, PNC WEALTH MANAGEMENT LLC, VALIC FINANCIAL ADVISORS INC., COMMUNITY INVESTMENT SERVICES INC., QUICK & REILLY INC., FLEET ENTERPRISES INC., FIS SECURITIES INC., PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2018 - March 17, 2021
LPL FINANCIAL LLC
February 14, 2018 - March 17, 2021
LPL FINANCIAL LLC
February 7, 2013 - February 20, 2018
INVEST FINANCIAL CORPORATION
February 5, 2013 - February 14, 2018
INVEST FINANCIAL CORPORATION
September 26, 2011 - January 11, 2013
PNC WEALTH MANAGEMENT LLC
June 10, 2011 - January 11, 2013
PNC WEALTH MANAGEMENT LLC
December 9, 2010 - June 13, 2011
VALIC FINANCIAL ADVISORS, INC.
July 24, 2001 - December 1, 2010
COMMUNITY INVESTMENT SERVICES, INC.
September 25, 2000 - July 24, 2001
QUICK & REILLY, INC.
October 21, 1999 - October 31, 2000
FLEET ENTERPRISES, INC.
July 14, 1993 - September 25, 2000
FIS SECURITIES, INC.
March 17, 1993 - June 30, 1993
PRUCO SECURITIES, LLC.
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.
