Thomas PerryCRD Number: 1096559
Current Firm: American Portfolios Advisors, Inc.
Thomas Perry (CRD# 1096559) is an Investment Advisor Representative working at American Portfolios Advisors, Inc. in Holbrook, NY and has over 35 years of experience in the finance industry.
American Portfolios Advisors, Inc.
Scholtz & Co
Royal Alliance Associates, Inc.
|American Portfolios||Indianapolis, IN||May 2007 - Current||10|
|Equimax Lending||Fort Wayne, IN||Dec 2003 - Current||14|
|Perry Putters||Indianapolis, IN||Jan 1997 - Current||21|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1983|
|S65||NASAA Investment Advisors Law Examination||Mar 2004|
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
Total Assets Under Management3,158MILLIONS
Total Number of Accounts17,315ACCOUNTS
Average Account Value$182,412
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Performance-based fees
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
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, VT, WA, WI, WV, WY