Thomas Saunders, financial advisor Altamonte Springs FL
86 score

Thomas Saunders

CRD Number: 1217650
Current Firm: Kovack Advisors, Inc.

Thomas Saunders (CRD# 1217650) is an Investment Advisor Representative working at Kovack Advisors, Inc. in Altamonte Springs, FL and has over 17 years of experience in the finance industry. Thomas Saunders has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Kovack Securities, Inc. Fort Lauderdale, FL Jun 2015 - Current 1
Kovack Advisors, Inc. Fort Lauderdale, FL Jun 2015 - Current 1
Metlife Securities Inc. Longwood, FL Jan 2015 - Jun 2015 < 1
New England Securities Maitland, FL Aug 2012 - Dec 2014 2
Axa Advisors, LLC New York, NY Oct 2009 - Jul 2012 2
Woodbury Financial Services Longwood, FL Jan 2004 - Oct 2009 5
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Jul 1999
S63 Uniform Securities State Law Examination Feb 2014
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Thomas W. Saunders
Phone Number: 954-782-4771
Registered State(s):
  • FL
  • NC
By the Numbers
  • Total Assets Under Management
    1,317
    MILLIONS
  • Total Number of Accounts
    5,353
    ACCOUNTS
  • Average Account Value
    $246,011
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
86

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