As seen in
San Diego Five Star award winner

PROFESSIONAL PROFILE

Thomas Trax

Financial Advisor
LPL Financial
2221 Camino Del Rio S Ste 307
San Diego, CA 92108
Office: 619-462-3400
Cell: (858) 382-2400
thomas.trax@lpl.com
www.thomastrax.com

Professional Approach

Registered Securities Professional since 1993
CEP® — Certified Estate Planner™
General Securities Principal, currently registered thru LPL Financial
Graduate Cal Poly Pomona, Bachelor of Science Degree-Finance, Real Estate, Law (1990)


Tom Trax has been helping family and businesses throughout the San Diego area pursue their financial goals for the last 25 years. Tom is a well-known LPL Financial Advisor and LPL Registered Principal in San Diego, CA. Tom prides himself on objective and independent advice as well as ensuring ethics are the cornerstone of his practice.

Tom earned his Bachelor of Science degree in Finance, Real Estate, and Law from Cal Poly Pomona, CA. He is a CEP® — Certified Estate Planner™ and holds the series 24, 7, 6, 63, 65 securities registrations through LPL Financial. He is also Life/Health/Annuity licensed in CA and many other states. Tom’s practice has no geographical limitations to do business, whether you live locally or in another city or state.

Tom has a son named Ryan and in his spare time he enjoys traveling, running, scuba diving, and most outdoor activities.

CA Insurance Lic. # 0829479

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Securities and advisory services offered through LPL Financial, a Registered Investment Advisor, Member FINRA/SIPC.

 

*Winners appearing on this page do not pay a fee to be considered or to win the Five Star Award. Professionals with a digital profile have paid a promotional fee.
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not; A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or Five Star Professional’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; feedback may not be representative of any one clients’ experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria – considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The Five Star award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their clients’ assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by Five Star Professional or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future. For more information on the Five Star award and the research/selection methodology, go to fivestarprofessional.com. 2,018 San Diego wealth managers were considered for the award; 219 (11% of candidates) were named 2020 Five Star Wealth Managers. 2019: 1,885 considered, 224 winners; 2018: 1,498 considered, 228 winners; 2017: 1,349 considered, 349 winners; 2016: 1,337 considered, 349 winners; 2015: 1,639 considered, 350 winners; 2014: 1,838 considered, 368 winners; 2013: 1,675 considered, 417 winners; 2012: 1,014 considered, 284 winners.