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Detailed Report
THOMAS JOHN DALTON
CRD#: 2682909
IA
Investment Adviser
B
Broker
LPL ENTERPRISE, LLCCRD#: 8733 EMERSON, NJ
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2024 - Present (<1 year)BPRUCO SECURITIES, LLC. (CRD# 5685)2010 - 2024 (14 years)BTHE GRISWOLD COMPANY, INCORPORATED (CRD# 32944)2007 - 2009 (2 years)BJ.P. DALTON & ASSOCIATES, INC. (CRD# 33186)2004 - 2007 (2 years)BSCHONFELD SECURITIES, LLC (CRD# 23304)2001 - 2004 (3 years)BFLEET MEEHAN SPECIALIST, INC. (CRD# 103971)2000 - 2001 (<1 year)BH.D. VEST INVESTMENT SECURITIE... (CRD# 13686)1996 - 1998 (1 year)IAPRUDENTIAL FINANCIAL PLANNING ... (CRD# 5685)2011 - 2024 (13 years)
License(s)

State Registrations

B
California 11/14/2024
B
New Jersey 11/14/2024
B
Colorado 11/14/2024
IA
New Jersey 11/14/2024
B
Florida 11/15/2024
B
New York 11/14/2024
B
Hawaii 11/14/2024
B
North Carolina 11/14/2024
B
Illinois 11/14/2024
B
Pennsylvania 11/14/2024
B
Maryland 11/14/2024
B
South Carolina 11/14/2024
B
Missouri 1/16/2025
B
Texas 1/2/2025

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL ENTERPRISE, LLC (CRD#:8733)
EMERSON, NJ
Registered with this firm since 11/14/2024
B
LPL ENTERPRISE, LLC (CRD#:8733)
EMERSON, NJ
Registered with this firm since 11/14/2024
Previous Registration(s)
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IA
 10/19/2011 - 11/14/2024 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) Emerson, NJ
B
 08/09/2010 - 11/14/2024 PRUCO SECURITIES, LLC. (CRD#:5685) Emerson, NJ
B
 02/13/2007 - 09/01/2009 THE GRISWOLD COMPANY, INCORPORATED (CRD#:32944) NEW YORK, NY
B
 03/22/2004 - 02/26/2007 J.P. DALTON & ASSOCIATES, INC. (CRD#:33186) NEW YORK, NY
B
 01/26/2001 - 03/16/2004 SCHONFELD SECURITIES, LLC (CRD#:23304) JERICHO, NY
B
 10/01/2000 - 01/01/2001 FLEET MEEHAN SPECIALIST, INC. (CRD#:103971) NEW YORK, NY
B
 12/24/1996 - 09/25/1998 H.D. VEST INVESTMENT SECURITIES, INC. (CRD#:13686) DALLAS, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.