Thomas John Harold
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tom Harold
Similar Advisors
PIER 42 ADVISORS
RBC CAPITAL MARKETS, LLC
MODERA WEALTH MANAGEMENT, LLC
TIVERTON WEALTH
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
PIER 42 ADVISORS
RBC CAPITAL MARKETS, LLC
MODERA WEALTH MANAGEMENT, LLC
TIVERTON WEALTH
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
PIER 42 ADVISORS
RBC CAPITAL MARKETS, LLC
MODERA WEALTH MANAGEMENT, LLC
TIVERTON WEALTH
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
PIER 42 ADVISORS
RBC CAPITAL MARKETS, LLC
MODERA WEALTH MANAGEMENT, LLC
TIVERTON WEALTH
Years of Experience
27 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
PIER 42 ADVISORS
RBC CAPITAL MARKETS, LLC
MODERA WEALTH MANAGEMENT, LLC
TIVERTON WEALTH
Current Firm
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
Contact Information
Main Address
1055 Lpl Way, Fort Mill, SC 29715Mailing Address
1055 Lpl Way, Fort Mill, SC 29715Phone Number
(704) 733-3300Established
Delaware since 05/25/2023Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
5,215SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | — |
| EVANGELIOU, KIRIAKOS ANDREAS | SVP, CHIEF COMPLIANCE OFFICER | 2496177 |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
Regulatory Assets Under Management
Total Number of Accounts
139,192AUM (Assets Under Management)
$24,939,385,373Disclosures
Regulatory Event
3Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2026 | Cover Page | Report |
| 06/25/2025 | Cover Page | Report |
Similar Advisors
PIER 42 ADVISORS
RBC CAPITAL MARKETS, LLC
MODERA WEALTH MANAGEMENT, LLC
TIVERTON WEALTH
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
PIER 42 ADVISORS
RBC CAPITAL MARKETS, LLC
MODERA WEALTH MANAGEMENT, LLC
TIVERTON WEALTH
Primary Firm SEC Registration
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
State Registrations and Notice Filings
(3/10/2025)
(2/11/2025)
(3/10/2025)
(3/10/2025)
(2/11/2025)
(2/11/2025)
(2/11/2025)
(2/11/2025)
(2/11/2025)
(2/11/2025)
(2/11/2025)
(2/11/2025)
(2/11/2025)
(2/11/2025)
(12/5/2025)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
PIER 42 ADVISORS
RBC CAPITAL MARKETS, LLC
MODERA WEALTH MANAGEMENT, LLC
TIVERTON WEALTH
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).
Similar Advisors
PIER 42 ADVISORS
RBC CAPITAL MARKETS, LLC
MODERA WEALTH MANAGEMENT, LLC
TIVERTON WEALTH