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LS

Leslie T. Seely

Some features on this profile are disabled
CRD#: 417933
LS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Leslie Thomas Seely, who also goes by L Thomas Seely, Tom Seely, was a registered financial professional .

Leslie is a previously registered financial professional and started their career in finance in 1968. Leslie had worked at 17 firms and has passed the Series 63 and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

L Thomas Seely | Tom Seely

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.

Blog Corner

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®
None

Experience

Past

January 29, 2008 - December 31, 2013

LINCOLN INVESTMENT

RIA
CRD#: 519
MARLTON, NJ
Past

January 29, 2008 - December 31, 2013

LINCOLN INVESTMENT

BD
CRD#: 519
MARLTON, NJ
Past

April 9, 2003 - January 28, 2008

LEGEND ADVISORY, LLC

RIA
CRD#: 104761
HAINESPORT, NJ
Past

November 21, 2002 - January 28, 2008

LEGEND EQUITIES CORPORATION

BD
CRD#: 30999
HAINESPORT, NJ
Past

August 4, 1998 - November 19, 2002

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT
Past

October 4, 1994 - October 19, 1998

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

August 4, 1992 - August 5, 1998

NATHAN & LEWIS SECURITIES, INC.

BD
CRD#: 8503
NEW YORK, NY
Past

March 20, 1992 - July 15, 1992

ARAGON FINANCIAL SERVICES, INC.

BD
CRD#: 16023
IRVINE, CA
Past

November 19, 1989 - August 3, 1992

OSAIC WEALTH, INC.

BD
CRD#: 23131
JERSEY CITY, NJ
Past

September 24, 1985 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403
Past

April 11, 1985 - May 3, 1985

UR FINANCIAL, INC.

BD
CRD#: 10509
Past

September 2, 1983 - May 4, 1990

AETNA LIFE INSURANCE AND ANNUITY COMPANY

BD
CRD#: 13256
HARTFORD, CT
Past

March 30, 1982 - May 31, 1983

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
Past

February 16, 1982 - March 1, 1988

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
Past

October 26, 1978 - March 1, 1981

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
Past

June 16, 1970 - May 9, 1991

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
INDIANAPOLIS, IN
Past

June 16, 1970 - May 9, 1991

AMERICAN UNITED LIFE INSURANCE COMPANY

BD
CRD#: 1075
INDIANAPOLIS, IN
Past

December 3, 1968 - March 1, 1988

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680

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
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
RR
Series 63
Date: 10/6/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 9/23/1968
Registered Representative Examination

Current Firm

LINCOLN INVESTMENT
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

LINCOLN INVESTMENT PLANNING, LLC FORM ADV PART 2A APPENDIX I BROCHURE (8/13/2025)
LINCOLN INVESTMENT PLANNING, LLC FORM ADV PART 2A BROCHURE (8/13/2025)

Direct owners and executive officers

NamePositionCRD#
LINCOLN INVESTMENT CAPITAL HOLDINGS, LLCMEMBER/OWNER
ALEXANDER, DANIEL SEANEXECUTIVE VICE-PRESIDENT, CHIEF BUSINESS DEVELOPMENT OFFICER4051341
BUETI, ANTHONY CHARLESSENIOR VICE-PRESIDENT, OPERATIONS & SERVICE/ PRINCIPAL OPERATIONS OFFICER5876104
BURA, KAREN DOUGHERTYVICE-PRESIDENT, CONTROLLER1666006
ESTES, JASON CHRISTOPHEREXECUTIVE VICE-PRESIDENT, CHIEF INFORMATION & TECHNOLOGY OFFICER7485210
FLAX, STEVEN NEILEXECUTIVE VICE-PRESIDENT, CHIEF HUMAN RESOURCES OFFICER5655474
FORST, EDWARD SAMUEL JRELECTED MANAGER/CEO708024
LECKEY, KATHLEEN KINSLOWPRESIDENT, CHIEF OPERATING OFFICER2447809
MATTSON, MAUREEN ANNEXECUTIVE VICE-PRESIDENT, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER5952728
MCCARTHY, DIANE MULHERRINEXECUTIVE VICE-PRESIDENT/CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/ELECTED MANAGER4923328
MEHROTRA, SHASHISENIOR VICE-PRESIDENT, CHIEF INVESTMENT OFFICER2640875
OBERLIES, SUSAN MARYSENIOR VICE-PRESIDENT, CORPORATE COUNSEL/SECRETARY3009149

Regulatory assets under management

Total Number of Accounts201,292
AUM (Assets Under Management)$ 18,904,482,714

Disclosures

Regulatory Event7

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/28/2024
Cover Page
Report
09/27/2023
Cover Page
Report
03/29/2023
Cover Page
Report

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.

Company Information

LINCOLN INVESTMENT

LINCOLN INVESTMENT

CRD#: 519

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