TD
Thomas J. Dalton
LPL ENTERPRISE
Emerson, NJ
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CRD#: 2682909
TD
Professional summary
Thomas John Dalton is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Emerson, New Jersey.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Thomas has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7, Series 21, Series 25 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) 03/27/2025- Real Estate Rental-Inv Related-At 904 Garden St Hoboken NJ 07030 -Start date 01/01/2018-1hrs/mth-0hrs/mth during trading
CRS (Client Relationship Summary) - RIA
Click below to view Thomas John Dalton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas John Dalton's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
RIA
BD
CRD#: 8733
Emerson, NJ
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
RIA
BD
CRD#: 8733
Emerson, NJ
Past
October 19, 2011 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Emerson, NJ
Past
August 9, 2010 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Emerson, NJ
Past
February 13, 2007 - September 1, 2009
THE GRISWOLD COMPANY, INCORPORATED
BD
CRD#: 32944
NEW YORK, NY
Past
March 22, 2004 - February 26, 2007
J.P. DALTON & ASSOCIATES, INC.
BD
CRD#: 33186
NEW YORK, NY
Past
January 26, 2001 - March 16, 2004
SCHONFELD SECURITIES, LLC
BD
CRD#: 23304
JERICHO, NY
Past
October 1, 2000 - January 1, 2001
BANC OF AMERICA SPECIALIST, INC.
BD
CRD#: 103971
NEW YORK, NY
Past
December 24, 1996 - September 25, 1998
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(11/14/2024)
RR
Colorado(11/14/2024)
RR
Florida(11/15/2024)
RR
Hawaii(11/14/2024)
RR
Illinois(11/14/2024)
RR
Maryland(11/14/2024)
RR
Massachusetts(7/16/2025)
RR
Missouri(1/16/2025)
RR
New Jersey(11/14/2024)
IAR
New Jersey(11/14/2024)
RR
New York(11/14/2024)
RR
North Carolina(11/14/2024)
RR
Pennsylvania(11/14/2024)
RR
South Carolina(11/14/2024)
RR
Texas(1/2/2025)
RR
Wyoming(3/21/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/8/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 21
Date: 5/16/2000
NYSE Front Line Specialist ClerkGeneral Industry/Product Exam
RR
Series 25
Date: 7/22/1999
NYSE Trading Assistant ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
