Thomas
Ellis

Lpl Financial LLC

CRD#4663661
Investment Advisor
in Ventura, CA

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About this Advisor

Thomas Ellis is a financial advisor operating out of Ventura, California with 4 years of industry experience. Ellis currently works for Lpl Financial LLC. During their career, the advisor has held roles at Thomas Aquinas College, Foothill Securities, Inc, Ellis & Ellis, Inc, Saint Augustine Academy, Securities America, Inc, Arbor Point Advisors, Securities America Advisors, Inc and Lpl Financial, LLC. Ellis holds a Series 66 license, qualifying them as both a securities agent and an investment advisor representative, and is able to work in California and Texas. Lpl Financial LLC is a registered investment firm operating out of Fort Mill, SC. The company has offices in 9,898 locations and a total of 31,366 employees. It manages $368 billion in total assets across its 1,688,501 accounts, placing it among the biggest firms in the nation by assets under management. The firm serves 3,425 charitable organizations. Of its 1,688,501 customer accounts, 31% are held by high-net-worth clients who have more than $1 million in assets. The business provides a wide range of services, such as financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, educational seminars and other services. Financial management fees typically are based on the type of services provided. Fees billed by Lpl Financial LLC likely include asset-based, hourly, fixed and commission-based fees.

Certifications and Registrations

Series 66

Years Registered*

4 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Educational seminars/workshops, Other

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions

Office Location

950 Country Square Dr Ste 106
Ventura, CA 93003-5449

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Lpl Financial LLC Brokerage Details

Total Assets Under Management

$368,018,536,946

CA Average: $646,059,043
Total Number of Employees

31,366

CA Average: 13
Total Number of Accounts

1,688,501

CA Average: 661
Average Account Size

$217,956

CA Average: $977,396

Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Educational seminars/workshops
  • Other

Thomas Ellis Work History

Thomas has been registered as a financial advisor for 4 years.*

2019 - Present (5 years)

Lpl Financial, LLC

2012 - Present (12 years)

Thomas Aquinas College

2012 - Present (12 years)

Saint Augustine Academy

2009 - Present (15 years)

Ellis & Ellis, Inc

2016 - 2019 (3 years)

Securities America, Inc

2016 - 2019 (3 years)

Arbor Point Advisors

2016 - 2019 (3 years)

Securities America Advisors, Inc

2008 - 2016 (8 years)

Foothill Securities, Inc

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.

Disclosures

Please visit the SEC profile of Thomas Ellis to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Lpl Financial LLC

Eric Matthews
Fort Mill, SC
Sarah Pais
Dallas, TX
Jason Strandberg
Fort Madison, IA
Jasmine Bilderback
Lubbock, TX
Gregory Osborn
North Reading, MA
David Travis
Springfield, IL
Barbara Ginty
Kingston, NY
Patrick Barnett
Charlotte, NC

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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