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Thomas H. Thorp
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CRD#: 2745965
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Professional summary
Thomas Harris Thorp 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 1997. Prior to being barred, Thomas had worked at 3 firms, which includes LINCOLN INVESTMENT, IAC SECURITIES INC., INVESTMENT PLANNERS INC..
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
November 20, 1998 - November 6, 2001
LINCOLN INVESTMENT
BD
CRD#: 519
FORT WASHINGTON, PA
Past
June 4, 1998 - November 30, 1998
IAC SECURITIES, INC.
BD
CRD#: 14081
TINLEY PARK, IL
Past
March 10, 1997 - March 2, 1998
INVESTMENT PLANNERS, INC.
BD
CRD#: 18557
DECATUR, IL
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".
LINCOLN INVESTMENT
CMW | THE LINCOLN INVESTMENT COMPANIES | THE LEGEND GROUP | THE GABOR AGENCY | SHELGREN FINANCIAL GROUP | LINCOLN INVESTMENT PLANNING, LLC | LINCOLN INVESTMENT PLANNING, INC. | LINCOLN INVESTMENT PLANNING, INC | LINCOLN INVESTMENT | GABOR FINANCIAL SOLUTIONS | FINANCIAL DIRECTORS | CREATING AND MANAGING WEALTH
CRD#: 519 / SEC#: 801-14059, 8-14354
RIA
Registered Investment Advisory firm - SEC (9/11/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
LINCOLN INVESTMENT
CMW | THE LINCOLN INVESTMENT COMPANIES | THE LEGEND GROUP | THE GABOR AGENCY | SHELGREN FINANCIAL GROUP | LINCOLN INVESTMENT PLANNING, LLC | LINCOLN INVESTMENT PLANNING, INC. | LINCOLN INVESTMENT PLANNING, INC | LINCOLN INVESTMENT | GABOR FINANCIAL SOLUTIONS | FINANCIAL DIRECTORS | CREATING AND MANAGING WEALTH
CRD#: 519 / SEC#: 801-14059, 8-14354
RIA
Registered Investment Advisory firm - SEC (9/11/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
601 Office Center Drive Suite 300, Fort Washington, PA 19034-3232
Mailing Address
601 Office Center Drive Suite 150-mailroom, Fort Washington, PA 19034
Phone number
(215) 887-8111
Established
Pennsylvania since 08/01/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,293
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINCOLN INVESTMENT CAPITAL HOLDINGS, LLC | MEMBER/OWNER | |
| ALEXANDER, DANIEL SEAN | EXECUTIVE VICE-PRESIDENT, CHIEF BUSINESS DEVELOPMENT OFFICER | 4051341 |
| BUETI, ANTHONY CHARLES | SENIOR VICE-PRESIDENT, OPERATIONS & SERVICE/ PRINCIPAL OPERATIONS OFFICER | 5876104 |
| BURA, KAREN DOUGHERTY | VICE-PRESIDENT, CONTROLLER | 1666006 |
| ESTES, JASON CHRISTOPHER | EXECUTIVE VICE-PRESIDENT, CHIEF INFORMATION & TECHNOLOGY OFFICER | 7485210 |
| FLAX, STEVEN NEIL | EXECUTIVE VICE-PRESIDENT, CHIEF HUMAN RESOURCES OFFICER | 5655474 |
| FORST, EDWARD SAMUEL JR | ELECTED MANAGER/CEO | 708024 |
| LECKEY, KATHLEEN KINSLOW | PRESIDENT, CHIEF OPERATING OFFICER | 2447809 |
| MATTSON, MAUREEN ANN | EXECUTIVE VICE-PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER | 5952728 |
| MCCARTHY, DIANE MULHERRIN | EXECUTIVE VICE-PRESIDENT/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/ELECTED MANAGER | 4923328 |
| MEHROTRA, SHASHI | SENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER | 2640875 |
| OBERLIES, SUSAN MARY | SENIOR VICE-PRESIDENT, CORPORATE COUNSEL/SECRETARY | 3009149 |
Regulatory assets under management
| Total Number of Accounts | 201,292 |
| AUM (Assets Under Management) | $ 18,904,482,714 |
Disclosures
| Regulatory Event | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
Red Flags
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