Thomas J. Ring
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.
Thomas J Ring, who also goes by Thomas John Ring, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1978. Thomas had worked at 13 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2014 - November 4, 2021
LPL FINANCIAL LLC
April 3, 2014 - November 4, 2021
LPL FINANCIAL LLC
April 18, 2012 - February 5, 2014
SIGNATOR INVESTORS, INC.
April 9, 2012 - December 4, 2012
SIGNATOR INVESTORS, INC.
December 16, 2008 - April 28, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 27, 2008 - April 28, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 3, 2007 - January 3, 2008
IFMG SECURITIES, INC.
December 18, 2003 - October 20, 2006
KEVIN G. BOYLE SECURITIES, INC.
August 30, 2002 - April 15, 2003
TRADITION SECURITIES AND DERIVATIVES LLC
September 18, 2001 - June 20, 2002
INSTITUTIONAL DIRECT INC.
October 1, 2000 - June 1, 2001
SUNGARD GLOBAL EXECUTION SERVICES LLC
March 22, 1988 - June 23, 1988
UNDERHILL ASSOCIATES, INCORPORATED
December 24, 1987 - March 5, 1988
FIRST AFFILIATED SECURITIES, INC.
October 20, 1980 - January 14, 1988
EQUITABLE ADVISORS, LLC
June 16, 1980 - January 22, 1981
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 25, 1978 - June 18, 1979
FINANCIAL SQUARE PARTNERS
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
