Individual Firm
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THOMAS MICHAEL DIRCKS JR
THOMAS MICHAEL DIRCKS, TOM DIRCKS JR
CRD#: 1675389
IA
B
LPL FINANCIAL LLCCRD#: 6413 EDEN PRAIRIE, MN
0
Disclosures
36
Years of Experience
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State Registrations
B
Iowa 3/6/2025
IA
Minnesota 3/6/2025
B
Kansas 3/6/2025
B
Wisconsin 3/6/2025
B
Minnesota 3/6/2025
IA
Wisconsin 3/6/2025
SRO Registrations
B
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/04/2022 - 03/06/2025 | EDEN PRAIRIE, MN | |
B | 06/01/2021 - 03/06/2025 | EDEN PRAIRIE, MN | |
B | 02/14/2018 - 06/29/2021 | EDEN PRAIRIE, MN | |
B | 01/09/2004 - 02/14/2018 | BROOKFIELD, WI | |
IA | 01/09/2004 - 12/31/2014 | BROOKFIELD, WI | |
B | 06/05/2000 - 01/20/2004 | CHICAGO, IL | |
B | 10/21/1999 - 05/22/2000 | GREEN BAY, WI | |
B | 06/24/1999 - 10/06/1999 | MENOMONEE FALLS, WI | |
B | 07/07/1992 - 06/29/1999 | BROOKFIELD, WI | |
B | 07/23/1991 - 07/14/1992 | BROOKFIELD, WI | |
B | 08/20/1987 - 10/10/1990 | MILWAUKEE, WI |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.