Thomas StephensCRD 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
The Goff Financial Group
Linscomb & Williams
Hill Investment Group
|First Allied Advisory Services, Inc.||San Diego, CA||May 2016 - Current||2|
|First Allied Securities,inc.||San Diego, CA||May 2016 - Current||2|
|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|
Total Assets Under Management4,543MILLIONS
Total Number of Accounts23,384ACCOUNTS
Average Account Value$194,276
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription 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)
- 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
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