Thomas Asta
Investment adviser representative at LPL Financial LLC
8 yearsExperience
1 stateRegistered in
$819.1BFirm assets
51 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
8 years in the industry.
- LPL Financial LLCMay 2022 to now
- Webster BankMay 2022 to now
- Financial Resources Group Investment Services LLCMay 2022 to Dec 2023
- Sterling National BankMay 2022 to Oct 2022
- Cetera Investment Advisers LLCFeb 2021 to May 2022
- Cetera Investment Services LLCFeb 2021 to May 2022
- Investors BankFeb 2021 to May 2022
- Alliant Retirement ConsultingDec 2017 to Jan 2021
- Cetera Advisor NetworksDec 2017 to Jan 2021
- Signature Securities Group Corp./signature BankJul 2014 to Dec 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law1993
- Series 65 · Uniform Investment Adviser Law1995
- Series 66 · Uniform Combined State Law2009
State registrations
Registered as an investment adviser representative in 1 state (NY).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 2288660
- Firm CRD
- 6413