DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)27 years in industry

THOMAS JOHN ALEXANDER

Advisor at LPL FINANCIAL LLC

WEST DES MOINES, IA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:37f108fd-d4de-86cc-f84f-e6871e501bb4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 3, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 14, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Sep 14, 1999
First registration: May 3, 2002
Dual registered: yes, broker-dealer
Other names: TOM ALEXANDER
IAPD individual key: 4018047

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	May 27, 2022	n/a	yes	WEST DES MOINES, IA	Current employment
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Nov 10, 2004	May 26, 2022	no	DES MOINES, IA\|DES MOINES, IA	Previous registration
VSR ADVISORY SERVICES	Former SEC adviser	Feb 7, 2003	Oct 3, 2003	no	OVERLAND PARK, KS	Previous registration
THE MASTERS, INC.	n/a	May 3, 2002	Feb 7, 2003	no	WEST DES MOINES, IA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PRINCIPAL SECURITIES, INC.	LPL FINANCIAL LLC	May 26, 2022	May 27, 2022	1	Firm change	Ibd to RIA
VSR ADVISORY SERVICES	PRINCIPAL SECURITIES, INC.	Oct 3, 2003	Nov 10, 2004	404	Firm change after gap	Other
THE MASTERS, INC.	VSR ADVISORY SERVICES	Feb 7, 2003	Feb 7, 2003	0	Bulk transfer	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 27, 2022 to presentfactForm ADV
→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: previous registration
Nov 10, 2004 to May 26, 2022factForm ADV
→ VSR ADVISORY SERVICESRegistered adviserregistration: previous registration
Feb 7, 2003 to Oct 3, 2003factForm ADV
→ THE MASTERS, INC.Registered adviserregistration: previous registration
May 3, 2002 to Feb 7, 2003factForm ADV

Dated events

Occurred
May 26, 2022
Advisor changed firm
Thomas John Alexander left Principal Securities, Inc. for Lpl Financial Llc (registered 2022-05-27)
Form ADVobserved 6 days ago