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San Diego Five Star award winner
Thomas Trax
LPL Financial Advisor
Wealth Manager
2022 Five Star
Wealth Manager
Contact Me!
Ten-Year Winner
PROFESSIONAL PROFILE

Thomas Trax
LPL Financial Advisor
Wealth Manager
(619)462-3400
PROFESSIONAL ACCOMPLISHMENTS

  • Five Star Wealth Manager award winner 2013-2015, 2017-2022
  • Hillside Professional Center Association's Vice President 2022


RESOURCES

How to Be Smart (Not Brilliant) With Your Financial Planning

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 Award based on 10 objective criteria associated with providing quality services to clients such as credentials, experience and assets under management among other factors. Wealth managers do not pay a fee to be considered or placed on the final list of 2012-2015, 2017-2022

 

Tom Trax is a registered representative with and securities 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.
This award was issued on 12/1/21 by Five Star Professional (FSP) for the time period 04/12/2021 through 10/15/2021. Fee paid for use of marketing materials. Self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria. 2084 San Diego-area wealth managers were considered for the award; 223 (11% of candidates) were named 2022 Five Star Wealth Managers. The following prior year statistics use this format: YEAR: # Considered, # Winners, % of candidates, Issued Date, Research Period. 2021: 6123, 459, 7%, 12/1/20, 3/30/20 - 10/16/20; 2020: 2218, 231, 10%, 12/1/19, 3/1/19 - 10/18/19; 2019: 1885, 224, 12%, 12/1/18, 3/23/18 - 10/15/18; 2018: 1498, 228, 15%, 12/1/17, 3/22/17 - 10/17/17; 2017: 1349, 349, 26%, 11/1/16, 2/25/16 - 10/14/16; 2016: 1337, 349, 26%, 11/1/15, 6/2/15 - 10/23/15; 2015: 1639, 350, 21%, 12/1/14, 6/2/14 - 10/23/14; 2014: 1838, 368, 20%, 12/1/13, 6/2/13 - 10/23/13; 2013: 1675, 417, 25%, 12/1/12, 6/2/12 - 10/23/12; 2012: 1014, 284, 28%, 11/1/11, 6/2/11 - 10/23/11.
Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. The award is based on 10 objective criteria. Eligibility criteria-required: 1. Credentialed as a registered investment adviser (RIA) or a registered investment adviser representative; 2. Actively licensed as a RIA 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 FSP, 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 FSP's consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through FSP's consumer complaint process; feedback may not be representative of any one client's 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. FSP does not evaluate quality of services provided to clients. The 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 FSP 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 FSP in the future. Visit www.fivestarprofessional.com.