TH
Thomas J. Harold
LPL ENTERPRISE
CAPE GIRARDEAU, MO 63703
Some features on this profile are disabled
CRD#: 3278651
TH
Professional summary
Thomas John Harold, who also goes by Tom Harold, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Cape Girardeau, Missouri.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Thomas has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Harold
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. 02/06/2025 - Copper Cove, LLC - Real Estate Rental - INV REL - Cape Girardeau, MO - Start Date 08/01/2019 - 0hrs/MTH 2. 02/06/2025 - Pathfinder Financial Advisors, LLC - DBA for LPL Business (entity for LPL business) - INV REL - At reported business location(s) - Start Date 01/31/2005 - 200 hrs/MTH
CRS (Client Relationship Summary) - RIA
Click below to view Thomas John Harold's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas John Harold'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
February 11, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 2851 Independence Street, Cape Girardeau, MO 63703RIA
BD
CRD#: 8733
CAPE GIRARDEAU, MO
Current
February 11, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 2851 Independence Street, Cape Girardeau, MO 63703RIA
BD
CRD#: 8733
CAPE GIRARDEAU, MO
Past
June 29, 2023 - February 27, 2025
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
Cape Girardeau, MO
Past
August 31, 2018 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
Cape Girardeau, MO
Past
August 31, 2018 - February 27, 2025
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
Cape Girardeau, MO
Past
June 4, 2010 - September 7, 2018
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
CAPE GIRARDEAU, MO
Past
June 4, 2010 - September 7, 2018
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
CAPE GIRARDEAU, MO
Past
May 30, 2008 - June 14, 2010
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
CAPE GIRARDEAU, MO
Past
January 1, 2007 - June 15, 2010
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
CAPE GIRARDEAU, MO
Past
January 6, 2000 - January 1, 2007
FFP ADVISORY SERVICES INC
RIA
CRD#: 110778
CAPE GIRARDEAU, MO
Past
September 30, 1999 - May 30, 2008
FFP SECURITIES, INC.
BD
CRD#: 16337
CAPE GIRARDEAU, MO
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
Alabama(3/10/2025)
RR
California(2/11/2025)
RR
Colorado(3/10/2025)
RR
Florida(3/10/2025)
RR
Georgia(2/11/2025)
RR
Illinois(2/11/2025)
RR
Kentucky(2/11/2025)
RR
Missouri(2/11/2025)
IAR
Missouri(2/11/2025)
RR
New Mexico(2/11/2025)
RR
North Carolina(2/11/2025)
RR
Texas(2/11/2025)
IAR
Texas(2/11/2025)
RR
Utah(2/11/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
