BrokerSearch
THOMAS RICHARD LOFY is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 11120 N. TATUM BLVD, SUITE 101, PHOENIX, AZ, 85028.
THOMAS RICHARD LOFY has worked at LPL FINANCIAL LLC since March 27, 2003
THOMAS RICHARD LOFY has 1 Disclosure Event(s).
Date: November 04, 1999All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for THOMAS RICHARD LOFY, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.