Thomas CotterCRD Number: 1358893
Current Firm: Bfc Planning, Inc.
Thomas Cotter (CRD# 1358893) is an Investment Advisor Representative working at Bfc Planning, Inc. in Las Vegas, NV and has over 31 years of experience in the finance industry.
Kingsbridge Wealth Management, Inc.
Hornor, Townsend & Kent, Inc.
Cathay Consultants Ltd.
|Mtl Equity Products, Inc.||Oak Brook, IL||Feb 2009 - Current||7|
|The Prudential Insurance Company Of America||Las Vegas, NV||Mar 2007 - Jan 2009||1|
|Pruco Securities LLC||Las Vegas, NV||Mar 2007 - Jan 2009||1|
|U.s. Bancorp Investments, Inc.||Las Vegas, NV||Apr 2006 - Mar 2007||< 1|
|Various Insurance Carriers||Las Vegas, NV||Oct 2001 - Mar 2007||5|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 1985|
|S65||NASAA Investment Advisors Law Examination||Oct 2001|
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 Management226MILLIONS
Total Number of Accounts1,960ACCOUNTS
Average Account Value$115,102
- 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
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, SC, SD, TN, TX, UT, WA, WI, WV