Thomas Gregg

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About Thomas Gregg

As a dedicated Wealth Advisor, Tom helps individuals, families, and small businesses articulate financial goals and priorities and create a roadmap toward achieving them. Through a goals-based process Tom focuses on pre-retirement planning, retirement income planning, estate planning, and sophisticated investment management strategies. Originally from the Greater Philadelphia area, Tom has been a resident of the Capital District for almost 20 years. He currently resides in Bethlehem, NY with his wife Jennifer, their two children: Gwendoline and Bradley, and their two dogs. The last few years Tom has enjoyed being a member of Normanside Country Club in Delmar.

Tom currently holds FINRA Series 7 & 66 Securities Registrations with LPL Financial and his New York Life, Accident, & Health Insurance License, which he obtained during his 8 years with Bank of America/Merrill Lynch prior to joining LPL Financial and Empire Financial Advisors.

See Disclosures

General Information

CRD#

6736810

Firm CRD#

6413

Insurance License#

18487409

Name of Broker/Dealer

LPL FINANCIAL LLC

States Licensed in

Years of Experience in Financial Services

Number of Years with Current Firm

Work with the following types of clients

Businesses, Individual Investors, Non-Profit Organizations

Foreign Languages Serviced

Advisory Services Provided

Financial Advice & Consulting, Investment Advice & Management, Estate Planning & Trusts, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses, Risk Management

Compliance

Registered Investment Advisor

Registered Representative

Investment Advisor Representative

Acknowledged fiduciary

Compliance Disclosures in Last 5 years

I have a clean record

Criminal Disclosures in Last 5 years

I have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations

AAMS^®

Securities Licenses

Series 66, Series 7

Insurance and Annuity Licenses

Annuity, Health, Life, Variable Annuity, Long Term Care, Variable Life

Firm Information

Advisor's Number of Clients

Advisor's Number of Managed Clients

Advisor's Number of Planning Clients

Assets Managed by Advisor

$45000000

Compensation and Fees

Fee Structure

Fee-Based

Minimum Portfolio Size for New Managed Accounts

$100,000

Compensation Methods

Commissions, Based on Assets

Fee % Based on Assets

.09%-1.2%

Education

Business Management -

College of Saint Rose
09/01/2004 -05/15/2009

Disclosures

PaladinRegistry.com provides referrals to financial professionals of LPL Financial, LLC (LPL). PaladinRegistry.com is not a current client of LPL for brokerage or advisory services. Financial professionals of LPL pay PaladinRegistry.com cash compensation for these referrals, which creates the incentive for PaladinRegistry.com to make these referrals, resulting in a conflict of interest.

LPL ADV 2A

https://www.lpl.com/content/dam/lpl-www/documents/disclosures/A58.pdf

Additional Detailed Disclosures

https://www.lpl.com/content/dam/edam/format/disclosure/wiseradvisor-lpl-detailed-disclosures.pdf

Disclaimer

Securities and Advisory Services offered through LPL Financial, a Registered Investment Advisor. Member FINRA & SIPC

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Paladin Research Report For:

Legacy Wealth Group - Empire Financial Advisors