TI
Thomas L. Irwin
LPL ENTERPRISE
NEW YORK, NY 10020
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CRD#: 4443238
TI
Professional summary
Thomas Liam Irwin is a registered financial professional currently at LPL ENTERPRISE, LLC located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2001. Thomas has worked at 9 firms and has passed the Series 66, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
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.
BABIES HEART FUND / NOT INVESTMENT RELATED / 100 HAVEN AVE, SUITE 29D NEW YORK,NY 10032 / CHARITY / TO ENHANCE RESOURCES FOR, AND AWARENESS OF, PEDIATRIC HEART DISEASE, / MEMBER OF BOARD OF DIRECTORS CONSULTANT / GENERAL PARTICIPATION AND DEVELOPMENT FOR THE ORGANIZATION AND INVOLVED IN GOLF TOURNAMENT / 2 HRS/MONTH / NONE DURING TRADING / START DATE 5/6/2014 KKM FINANCIAL, INVESTMENT RELATED, 141 W. JACKSON ST. CHICAGO, IL, CONSULTANT, ASSET MANAGEMENT, START DATE 04/2019, 5-10 HRS/MONTH, NONE DURING TRADING, ADVISE ON DIRECTION AND IMPLEMENTATION OF DISTRIBUTION.
CRS (Client Relationship Summary) - BD
Click below to view Thomas Liam Irwin'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 12, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 1270 Avenue Of The Americas Ste 1000, New York, NY 10020RIA
BD
CRD#: 8733
NEW YORK, NY
Past
May 1, 2023 - May 25, 2023
REVERE WEALTH MANAGEMENT LLC
RIA
CRD#: 170560
NEW YORK, NY
Past
October 19, 2021 - May 25, 2023
REVERE SECURITIES LLC
BD
CRD#: 14178
NEW YORK, NY
Past
March 31, 2021 - March 28, 2022
KKM FINANCIAL LLC
RIA
CRD#: 165136
CHICAGO, IL
Past
March 8, 2021 - November 5, 2021
BROAD STREET CAPITAL MARKETS, LLC
BD
CRD#: 104026
HOLMDEL, NJ
Past
July 22, 2005 - April 17, 2019
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEW YORK, NY
Past
June 4, 2002 - July 26, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
WASHINGTON, DC
Past
February 5, 2002 - July 26, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
October 9, 2001 - January 2, 2002
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
October 9, 2001 - January 2, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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.
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
New York(2/13/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/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.
