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THOMAS A DAVIA
THOMAS ANTHONY DAVIA, TOM DAVIA
CRD#: 2835425
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 11545 W.TOUHY AVE.
CHICAGO, IL 60666
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2002 - 2002 (<1 year)2 FIRMS2004 - 2005 (<1 year)2 FIRMS2017 - Present (7 years)BWOODBURY FINANCIAL SERVICES, INC. (CRD# 421)2016 - 2017 (1 year)BPROEQUITIES, INC. (CRD# 15708)2010 - 2016 (6 years)BTRANSAMERICA CAPITAL, INC. (CRD# 8217)2006 - 2010 (4 years)BJACKSON NATIONAL LIFE DISTRIBU... (CRD# 40178)2005 - 2006 (<1 year)BPLANCO FINANCIAL SERVICES, INC. (CRD# 8326)2002 - 2004 (1 year)BAFD, INC. (CRD# 34047)1999 - 2001 (2 years)BKEMPER DISTRIBUTORS, INC. (CRD# 37306)1997 - 1999 (1 year)
License(s)

State Registrations

B
Alabama 1/25/2021

B
Michigan 2/21/2020

B
Arizona 4/16/2021

B
Minnesota 8/7/2018

B
California 1/22/2020

B
Mississippi 4/4/2022

B
Colorado 10/25/2022

B
New York 3/14/2024

B
Florida 1/13/2020

B
North Carolina 7/16/2021

B
Georgia 1/21/2020

B
Pennsylvania 10/29/2024

B
Hawaii 4/15/2024

B
Tennessee 2/21/2024

B
Illinois 7/17/2017

B
Texas 8/18/2020

IA
Illinois 7/31/2017

IA
Texas 10/23/2020

B
Indiana 1/11/2018

B
Washington 6/18/2024

B
Kansas 7/11/2024

B
Wisconsin 4/26/2019

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
11545 W.TOUHY AVE., CHICAGO, IL 60666
Registered with this firm since 7/31/2017

B
LPL FINANCIAL LLC (CRD#:6413)
11545 W.TOUHY AVE., CHICAGO, IL 60666
Registered with this firm since 7/17/2017

Previous Registration(s)
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07/01/2016 - 07/14/2017 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) DOWNERS GROVE, IL
B
04/12/2010 - 04/25/2016 PROEQUITIES, INC. (CRD#:15708) BIRMINGHAM, AL
B
01/23/2006 - 04/01/2010 TRANSAMERICA CAPITAL, INC. (CRD#:8217) DENVER, CO
B
02/16/2005 - 01/20/2006 JACKSON NATIONAL LIFE DISTRIBUTORS, INC. (CRD#:40178) FRANKLIN, TN
B
08/20/2004 - 02/15/2005 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
B
08/20/2004 - 02/15/2005 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
B
10/24/2002 - 03/31/2004 PLANCO FINANCIAL SERVICES, INC. (CRD#:8326) HARTFORD, CT
B
05/03/2002 - 10/17/2002 HARTFORD EQUITY SALES COMPANY INC. (CRD#:6604) HARTFORD, CT
B
01/02/2002 - 04/01/2002 AFD, INC. (CRD#:34047) NORTHBROOK, IL
B
06/03/1999 - 12/31/2001 AFD, INC. (CRD#:34047) NORTHBROOK, IL
B
08/06/1997 - 02/18/1999 KEMPER DISTRIBUTORS, INC. (CRD#:37306) 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.