Thomas Sauer, financial advisor Charlotte NC
101 score

Thomas Sauer

CRD Number: 4855999
Current Firm: Waddell & Reed

Thomas Sauer (CRD# 4855999) is an Investment Advisor Representative working at Waddell & Reed in Charlotte, NC and has over 12 years of experience in the finance industry. Thomas Sauer 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
Olde Providence Racquet Club Charlotte, NC Jul 2016 - Current < 1
Waddell & Reed Inc. Charlotte, NC Mar 2015 - Current 1
Various Insurance Carriers For W & R Insurance Agencies Charlotte, NC Mar 2015 - Current 1
Bank Of America, N.a. Charlotte,, NC Nov 2011 - Mar 2015 3
Merrill Lynch, Pierce, Fenner & Smith Incorporated Charlotte, NC Oct 2009 - Mar 2015 5
Self Employed: Real Estate Broker Charlotte, NE Jul 2004 - Jun 2014 9
Bank Of America Investment Services, Inc. Charlotte, NC Jun 2005 - Oct 2009 4
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Nov 2004
Contact Info for Thomas H. Sauer
Phone Number:
Firm Website: http://www.waddell.com
Registered State(s):
  • GA
  • MS
  • NC
  • SC
  • VA
By the Numbers
  • Total Assets Under Management
    18,309
    MILLIONS
  • Total Number of Accounts
    149,599
    ACCOUNTS
  • Average Account Value
    $122,387
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Other
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)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, 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
101
Verified Page
Data verified by both the advisor and the public regulatory data.
Clean Record
This advisor has a clean track record with regulators.

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