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THOMAS HUNT SPALDING
TOM SPALDING
CRD#: 2542206
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 320 S. CANAL STREET
CHICAGO, IL 60606
Registration History
19952000200520102015202020252 FIRMS2005 - 2021 (15 years)2 FIRMS2021 - Present (3 years)BHARRISDIRECT LLC (CRD# 42159)2002 - 2005 (3 years)BHARRIS INVESTORLINE INC. (CRD# 6362)2000 - 2002 (1 year)BAMERITAS INVESTMENT CORP. (CRD# 14869)1998 - 2002 (3 years)BHARRIS INVESTORLINE (CRD# 6580)2000 - 2000 (<1 year)BHARRIS INVESTORS DIRECT, INC. (CRD# 17664)1995 - 2000 (4 years)BLAUGHLIN GROUP ADVISORS, INC. (CRD# 18272)1995 - 1998 (2 years)BFIRST CHICAGO INVESTMENT SERVI... (CRD# 17516)1994 - 1995 (1 year)IAHARRISDIRECT LLC (CRD# 42159)2000 - 2005 (5 years)
Disclosure(s)
View By:
11/17/2008
Customer Dispute
Denied
5/23/2005
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 3/24/2021

B
Minnesota 3/24/2021

B
Arizona 8/1/2022

B
Missouri 12/11/2024

B
California 3/24/2021

B
Nevada 3/24/2021

B
Colorado 5/30/2023

B
New Jersey 3/24/2021

B
Connecticut 1/17/2025

B
New York 3/24/2021

B
Florida 3/25/2021

B
North Carolina 3/24/2021

B
Illinois 3/24/2021

B
Ohio 3/24/2021

IA
Illinois 3/24/2021

B
Pennsylvania 5/24/2023

B
Indiana 3/24/2021

B
Tennessee 3/24/2021

B
Kansas 3/1/2023

B
Texas 9/21/2021

B
Kentucky 3/24/2021

B
Virginia 3/24/2021

B
Maryland 3/24/2021

B
Washington 3/24/2021

B
Massachusetts 3/24/2021

B
West Virginia 11/22/2021

B
Michigan 3/24/2021

B
Wisconsin 3/24/2021

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
320 S. CANAL STREET, CHICAGO, IL 60606
Registered with this firm since 3/24/2021

B
LPL FINANCIAL LLC (CRD#:6413)
320 S. CANAL STREET, CHICAGO, IL 60606
Registered with this firm since 3/24/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
12/16/2005 - 03/24/2021 BMO HARRIS FINANCIAL ADVISORS, INC (CRD#:137115) CHICAGO, IL
B
12/14/2005 - 03/24/2021 BMO HARRIS FINANCIAL ADVISORS, INC. (CRD#:137115) CHICAGO, IL
IA
12/11/2000 - 12/31/2005 HARRISDIRECT LLC (CRD#:42159) CHICAGO, IL
B
05/01/2002 - 12/31/2005 HARRISDIRECT LLC (CRD#:42159) JERSEY CITY, NJ
B
12/09/2000 - 05/01/2002 HARRIS INVESTORLINE INC. (CRD#:6362) SEATTLE, WA
B
04/29/1998 - 03/07/2002 AMERITAS INVESTMENT CORP. (CRD#:14869) LINCOLN, NE
B
04/15/2000 - 12/09/2000 HARRIS INVESTORLINE (CRD#:6580) CHICAGO, IL
B
10/26/1995 - 04/15/2000 HARRIS INVESTORS DIRECT, INC. (CRD#:17664) CHICAGO, IL
B
10/31/1995 - 04/30/1998 LAUGHLIN GROUP ADVISORS, INC. (CRD#:18272) LINCOLN, NE
B
10/05/1994 - 11/03/1995 FIRST CHICAGO INVESTMENT SERVICES, INC. (CRD#:17516) CHICAGO, IL
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B
Broker
IA
Investment Adviser
Disclosures
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.