TS
Tommy N. Silveus
LPL ENTERPRISE
SWANSEA, IL 62226
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CRD#: 6770527
TS
Professional summary
Tommy Neal Silveus jr, who also goes by Tommy Neal Silveus, Tommy Silveus Jr., Tommy Silveus, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Swansea, Illinois.
Tommy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Tommy has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tommy Neal Silveus | Tommy Silveus Jr. | Tommy Silveus
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.
Name: Rental property 1, Role: Landlord, Type: Rental Property, Start Date: 12/10/2021, Investment Related?: No, Address: 136 Rosewood lane, East alton, IL 62024, Number of Hours/Mo: 2, Duties: I own and maintain the dwelling that this individual rents. He is my nephew and he is in charge of basic maintenance so I am largely uninvolved unless something goes wrong. However, before i moved out I fixed the house up so it is self reliant for now! RENTAL PROPERTY POSITION: Owner/Landlord NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 11/20/2021 ADDRESS: 337 grand ave, wood river IL 62095, United States DESCRIPTION: I own and maintain the property, routine improvements. individual renting the dwelling does main maintenance.
CRS (Client Relationship Summary) - RIA
Click below to view Tommy Neal Silveus jr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tommy Neal Silveus jr'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
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 221 W Pointe Dr, Swansea, IL 62226RIA
BD
CRD#: 8733
SWANSEA, IL
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 221 W Pointe Dr, Swansea, IL 62226RIA
BD
CRD#: 8733
SWANSEA, IL
Past
April 14, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Swansea, IL
Past
April 13, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Swansea, IL
Past
January 23, 2023 - March 27, 2023
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
October 4, 2022 - March 27, 2023
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
East Alton, IL
Past
November 21, 2018 - March 20, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
St Louis, MO
Past
November 21, 2018 - October 14, 2022
TD AMERITRADE, INC.
RIA
CRD#: 7870
East Alton, IL
Past
February 26, 2018 - February 20, 2023
TD AMERITRADE, INC.
BD
CRD#: 7870
ST. LOUIS, MO
Past
August 22, 2017 - February 26, 2018
SCOTTRADE, INC.
BD
CRD#: 8206
ST LOUIS, MO
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
California(11/14/2024)
RR
Illinois(11/14/2024)
IAR
Illinois(11/14/2024)
RR
Missouri(11/14/2024)
IAR
Missouri(11/14/2024)
RR
Texas(11/14/2024)
IAR
Texas(11/14/2024)
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.
