TD
Thomas F. Dunn
LPL ENTERPRISE
MADISON, WI 53717
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CRD#: 4556872
TD
Professional summary
Thomas Francis Dunn, who also goes by T D, Tom Dunn, Tommy Dunn, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Madison, Wisconsin.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Thomas has worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
T D | Tom Dunn | Tommy Dunn
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. 10/02/2025 - Thomas Bradley Insurance - Property and Casualty - INV REL - Madison, WI - Start Date 01/04/2010 - 160 HRS/MO | 160 HRS/MO DURING TRADING 2. 10/02/2025 - Thomas Bradley Insurance - Non-Variable Insurance/Insurance Agency - INV REL - Madison, WI - Start Date 01/04/2010 - 160 HRS/MO | 160 HRS/MO DURING TRADING 3. 10/02/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - INV REL - Okauchee, WI - Start Date 04/30/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING 4. 10/02/2025 - THOMAS DUNN N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - INV REL - Okauchee, WI - Start Date 04/30/2025 - 160 HRS/MO | 160 HRS/MO DURING TRADING
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Francis Dunn's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Francis Dunn'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
October 2, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 1001 Fourier Drive Suite 100, Madison, WI 53717RIA
BD
CRD#: 8733
MADISON, WI
Current
October 2, 2025 - Present
LPL ENTERPRISE, LLC
Office #1: 1001 Fourier Drive Suite 100, Madison, WI 53717RIA
BD
CRD#: 8733
MADISON, WI
Past
August 11, 2020 - December 6, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
MADISON, WI
Past
August 11, 2020 - December 6, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
MADISON, WI
Past
September 26, 2018 - December 31, 2019
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Madison, WI
Past
September 21, 2018 - December 31, 2019
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Madison, WI
Past
March 20, 2017 - April 17, 2018
KMA FINANCIAL SERVICES, LLC
RIA
CRD#: 286617
MADISON, WI
Past
December 20, 2010 - December 21, 2016
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
VERONA, WI
Past
December 20, 2010 - December 21, 2016
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
January 12, 2004 - February 4, 2009
THOMPSON INVESTMENT MANAGEMENT, INC.
RIA
CRD#: 129609
MADISON, WI
Past
January 11, 2003 - January 9, 2004
WISCONSIN CAPITAL MANAGEMENT, LLC
RIA
CRD#: 110394
MADISON, WI
Past
October 2, 2002 - December 31, 2008
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
PORTLAND, ME
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
Wisconsin(10/2/2025)
IAR
Wisconsin(10/2/2025)
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.
Company Information
LPL ENTERPRISE, LLC
CRD#: 8733Madison, WI 53717TRUST BUT VERIFY
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