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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

THOMAS CLARK FRAME

Advisor at LPL FINANCIAL LLC

SALEM, WV | MORGANTOWN, WV

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Search this name across graphsid dfx:ria:5f872a5f-bec8-3998-67b3-e50014db94b0

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Oct 6, 1999 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: Oct 16, 1991earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Oct 16, 1991
First registration: Oct 6, 1999
Dual registered: yes, broker-dealer
Other names: TOM FRAME|Thomas Frame
IAPD individual key: 2168770

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	Jan 15, 2026	n/a	yes	MORGANTOWN, WV\|SALEM, WV	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 4, 2013	Jan 21, 2026	no	Sandpoint, ID\|Bridgeport, WV\|Salem, WV	Previous registration
SAXONY CAPITAL MANAGEMENT, LLC	Independent wealth	Jun 15, 2011	Oct 18, 2013	no	MORGANTOWN, WV\|SAINT LOUIS, MO\|MORGANTOWN, WV	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 2, 2009	Apr 5, 2011	no	MORGANTOWN, WV	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Oct 6, 1999	Jan 2, 2009	no	MORGANTOWN, WV	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
AMERIPRISE FINANCIAL SERVICES, LLC	LPL FINANCIAL LLC	Jan 21, 2026	Jan 15, 2026	-6	Firm change	Ibd to ibd
SAXONY CAPITAL MANAGEMENT, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 18, 2013	Oct 4, 2013	-14	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	SAXONY CAPITAL MANAGEMENT, LLC	Apr 5, 2011	Jun 15, 2011	71	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jan 2, 2009	Jan 2, 2009	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6363:6413:WV:2026-01-20	Jan 21, 2026	Jan 15, 2026	SALEM, WV	Firm change

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jan 15, 2026 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 4, 2013 to Jan 21, 2026factForm ADV
→ SAXONY CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jun 15, 2011 to Oct 18, 2013factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jan 2, 2009 to Apr 5, 2011factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Oct 6, 1999 to Jan 2, 2009factForm ADV

Dated events

Occurred
Jan 21, 2026
Advisor changed firm
Thomas Clark Frame left Ameriprise Financial Services, Llc for Lpl Financial Llc (registered 2026-01-15)
Form ADVobserved 6 days ago