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

THOMAS HERBERT THORNTON

Advisor at LPL FINANCIAL LLC

CHESTERFIELD, MO

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 1:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: May 10, 2005 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: Apr 26, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Apr 26, 1999
First registration: May 10, 2005
Dual registered: yes, broker-dealer
IAPD individual key: 3192079

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	Sep 21, 2020	n/a	yes	CHESTERFIELD, MO	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 26, 2016	Apr 13, 2020	no	DUBUQUE, IA	Previous registration
BMO HARRIS FINANCIAL ADVISORS, INC	Former SEC adviser	Aug 1, 2012	Jun 7, 2016	no	KANSAS CITY, MO\|GREENWOOD, IN\|FISHERS, IN\|MARTINSVILLE, IN\|MARTINSVILLE, IN\|INDIANAPOLIS, IN\|INDIANPOLIS, IN\|FISHERS, IN\|PLAINFIELD, IN\|ZIONSVILLE, IN\|CREVE COEUR, MO\|NOBLESVILLE, IN\|INDIANAPOLIS, IN\|ST LOUIS, MO\|CREVE COEUR, MO\|CHESTERFIELD, MO\|BELLEVILLE, IL\|ST LOUIS, MO\|SHAWNEE, KS\|ST LOUIS, MO\|ST LOUIS, MO\|ST LOUIS, MO\|SUNSET HILLS, MO\|LEAWOOD, KS\|ST. LOUIS, MO\|NOBLESVILLE, IN\|GREENWOOD, IN\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|INDIANAPOLIS, IN\|CARMEL, IN\|BROWNSBURG, IN\|MOORESVILLE, IN\|CLAYTON, MO\|KANSAS CITY, MO\|KANSAS CITY, MO\|OLATHE, KS\|ST LOUIS, MO\|NOBLESVILLE, IN	Previous registration
M&I FINANCIAL ADVISORS, INC.	Former SEC adviser	Apr 19, 2012	Aug 1, 2012	no	CLAYTON, MO\|CLAYTON, MO	Previous registration
M&I INVESTMENT MANAGEMENT CORP.	Former SEC adviser	Jul 13, 2010	Apr 18, 2012	no	MILWAUKEE, WI	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Nov 13, 2009	Jun 28, 2010	no	COLLINSVILLE, IL\|O'FALLON, IL\|ARNOLD, MO\|WEBSTER GROVES, MO\|ST. LOUIS, MO\|DESOTO, MO\|ST. LOUIS, MO\|EUREKA, MO\|ST. LOUIS, MO\|DESOTO, MO\|ST. LOUIS, MO\|HERCULANEUM, MO\|FENTON, MO	Previous registration
NATCITY INVESTMENTS, INC.	n/a	Jul 14, 2006	Nov 13, 2009	no	ST. LOUIS, MO\|ST. LOUIS, MO\|FENTON, MO\|ARNOLD, MO\|CLAYTON, MO\|ST. LOUIS, MO\|EUREKA, MO\|DESOTO, MO\|WEBSTER GROVES, MO\|ST. LOUIS, MO\|HERCULANEUM, MO\|ST. LOUIS, MO\|ST. LOUIS, MO\|ST. LOUIS, MO\|COLLINSVILLE, IL\|WATERLOO, IL\|ST. LOUIS, MO\|ST. LOUIS, MO\|ST. LOUIS, MO\|O'FALLON, IL\|EDWARDSVILLE, IL\|DESOTO, MO	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	May 10, 2005	Jul 17, 2006	no	BRENTWOOD, MO\|BRENTWOOD, MO	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
BMO HARRIS FINANCIAL ADVISORS, INC	LPL FINANCIAL LLC	Jun 7, 2016	Jul 26, 2016	49	Firm change	Other
M&I FINANCIAL ADVISORS, INC.	BMO HARRIS FINANCIAL ADVISORS, INC	Aug 1, 2012	Aug 1, 2012	0	Channel change	Other
M&I INVESTMENT MANAGEMENT CORP.	M&I FINANCIAL ADVISORS, INC.	Apr 18, 2012	Apr 19, 2012	1	Channel change	Other
PNC WEALTH MANAGEMENT	M&I INVESTMENT MANAGEMENT CORP.	Jun 28, 2010	Jul 13, 2010	15	Firm change	Other
NATCITY INVESTMENTS, INC.	PNC WEALTH MANAGEMENT	Nov 13, 2009	Nov 13, 2009	0	Bulk transfer	Other
LPL FINANCIAL LLC	NATCITY INVESTMENTS, INC.	Jul 17, 2006	Jul 14, 2006	-3	Firm change	Other

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jul 26, 2016 to Apr 13, 2020factForm ADV
→ BMO HARRIS FINANCIAL ADVISORS, INCRegistered adviserregistration: previous registration
Aug 1, 2012 to Jun 7, 2016factForm ADV
→ M&I FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Apr 19, 2012 to Aug 1, 2012factForm ADV
→ M&I INVESTMENT MANAGEMENT CORP.Registered adviserregistration: previous registration
Jul 13, 2010 to Apr 18, 2012factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Nov 13, 2009 to Jun 28, 2010factForm ADV
→ NATCITY INVESTMENTS, INC.Registered adviserregistration: previous registration
Jul 14, 2006 to Nov 13, 2009factForm ADV

Dated events

No dated event names this entity yet.