Thomas Shupe (CRD# 1890639) is an Investment Advisor Representative working at Lpl Financial LLC in Oakland, ME and has over 24 years of experience in the finance industry.
CRD# 5687257
Ameriprise Financial Services, LLC
CRD# 5332031
J.m. Arbour, LLC
CRD# 1864436
Lpl Financial LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Lpl Financial, LLC | Oakland, ME | Mar 2020 - Current | 4 |
| Axa Advisors, LLC | New York, NY | Sep 2019 - Feb 2020 | < 1 |
| Unemployed | Glastonbury, CT | Apr 2019 - Sep 2019 | < 1 |
| Flexible Plan Investments | Bloomfield Hills, IL | Aug 2018 - Apr 2019 | < 1 |
| Edward Jones | Saint Louis, MO | Apr 2018 - Jun 2018 | < 1 |
| Unemployed | Glastonbury, CT | Sep 2017 - Apr 2018 | < 1 |
| Franklin Templeton Distributors Inc. | St. Petersburg, FL | Nov 2005 - Sep 2017 | 11 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | May 1999 |
| S65 | NASAA Investment Advisors Law Examination | Sep 2005 |
| S66 | NASAA Uniform Combined State Law Examination | May 2018 |
- CT
- ME
- TX
-
Total Assets Under Management463,475MILLIONS
-
Total Number of Accounts1,910,545ACCOUNTS
-
Average Account Value$242,588
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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