Accredited Investment Fiduciary® (AIF®) professional
Vice President, Business Transitions
Tom serves as Chief Financial Officer and Vice President of the Business Transitions Team within The Financial Services Network. In his role as Chief Financial Officer, he is responsible for all corporate financial administration of The Network and handles all human resources for the office. As Vice President of the Business Development, Transitions and Integrations Team, Tom focuses the efforts of the team on ensuring a smooth transition of advisors and their staff into The Network and LPL Financial by assisting in all aspects of the transition process.
Tom joined The Network in 2013. With a high level of experience and expertise in the industry, Tom and his team take a hands-on approach to helping advisors stay focused on what they need to know before and during the transition, allowing them to maximize their time with clients. Prior to joining The Network, Tom started his career in 2005 working for a team of independent financial advisors, implementing the firm’s marketing plan, creating marketing materials and managing client-facing media, including direct marketing, the website and events designed to generate new business.
In 2006, Tom joined LPL Financial, developing his career over seven years while holding various positions in the firm. He began in the LPL Financial Service Center providing operational support on a high volume phone queue assisting advisors with brokerage and fee-based accounts, as well as providing advanced research support using tools such as Bloomberg, S&P 500, Credit Suisse and other subscription research software. Tom then had an opportunity to join the Advisory Consulting Team as an internal consultant managing the Pacific Northwest Territory, providing platform education, practice management and investment advice utilizing the LPL Financial Advisory Platforms. The natural progression of his career led him to his last role at LPL Financial, where he spent the three years as the assistant vice president of the High-Net-Worth Consulting Team. In this role, Tom partnered with advisors to help provide comprehensive advice for complex cases, high-net-worth investors and institutions that included wealth management, insurance, estate planning, investment management, concentrated stock, business planning and other custom solutions designed specifically for clients.
Tom lives in the East Bay area and enjoys traveling to film festivals in his free time. He frequently attends Fantastic Fest, the large genre film festival in the U.S.
- Bachelor of Science, San Diego State University
- Accredited Investment Fiduciary® (AIF®) professional
- Securities registrations Series 7 and 24 held through LPL Financial. Series 66 held through Strategic Wealth Advisors Group, and LPL Financial.
- FINRA Series 7: General Securities Representative Examination
- FINRA Series 24: General Securities Principal Qualification Examination
- FINRA Series 66: NASAA Uniform Combined State Law Examination
- Licensed to sell Life, Health and Disability insurance in the state of California.