Thomas PaupCRD Number: 5494162
Current Firm: H.d. Vest Advisory Services, Inc.
Thomas Paup (CRD# 5494162) is an Investment Advisor Representative working at H.d. Vest Advisory Services, Inc. in Palmyra, PA and has over 9 years of experience in the finance industry.
Northwestern Mutual Investment Services,llc
Royal Alliance Associates, Inc.
Msi Financial Services, Inc.
|Hd Vest Insurance Agency||Irving, TX||Jul 2017 - Current||< 1|
|Hd Vest Investment Services||Palmyra, PA||Jul 2017 - Current||< 1|
|Hd Vest Advisory Services||Palmyra, PA||Jul 2017 - Current||< 1|
|Sigma Financial Corporation/spc||Ann Arbor, MI||Feb 2012 - Jul 2017||5|
|Edward Jones||St.louis, MO||Feb 2008 - Feb 2012||4|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Apr 2008|
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:
- Financial Issue
Total Assets Under Management12,278MILLIONS
Total Number of Accounts56,222ACCOUNTS
Average Account Value$218,381
- A percentage of assets under your management
- 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)
- 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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