Thomas Stephens, financial advisor Houston TX
100 score

Thomas Stephens

CRD Number: 5903454
Current Firm: First Allied Advisory Services, Inc.
Compensation Model: Both

Thomas Stephens (CRD# 5903454) is an Investment Advisor Representative working at First Allied Advisory Services, Inc. in Houston, TX

Tom brings a unique perspective to Wealth Management, based upon 30+ years as a banker, successful entrepreneur, retired executive, widower, and now an active wealth manager. Tom works predominantly with EXECUTIVES and SENIOR LEVEL MANAGERS nearing retirement, or already retired, and Widows regardless of their age. His approach is first an education process, to ensure that you become familiar with some of the critical aspects of life after your last pay check, based upon his own personal experiences, followed by the crafting of a comprehensive plan that will encompass:
• Conservative Financial Foundation Strategies, including options for creating Income for Life
• Creation of a sound Estate Plan focused on your personal goals and desires
• Review of various insurance products, including Disability Income, Long Term Care, and the various Medicare Options
• A familiarization with issues surrounding Assisted Living, Dementia, and Hospice Care.
• Assistance in defining your Values to guide you through the remainder of your life, along with your goals and milestones that you hope to accomplish

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Company Name Location Dates Years
First Allied Advisory Services, Inc. San Diego, CA May 2016 - Current < 1
First Allied Securities,inc. San Diego, CA May 2016 - Current < 1
Lpl Financial LLC Houston, TX Apr 2013 - May 2016 3
Leave Of Absence Houston, TX Feb 2012 - Apr 2013 1
Lpl Financial Dallas, TX Aug 2011 - Feb 2012 < 1
Retired San Miguel De Allende, Jan 2006 - Aug 2011 5
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Oct 2011
Contact Info for Thomas S. Stephens
By the Numbers
  • Total Assets Under Management
    4,440
    MILLIONS
  • Total Number of Accounts
    26,339
    ACCOUNTS
  • Average Account Value
    $168,585
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
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
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States
Advisors affiliated with a RIA are permitted to work with up to five clients in nearly-all states* without explicit registration. The map below shows states where this firm has explicit registration only.

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

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BADGES
100
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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