Thomas Sauer, financial advisor Charlotte NC

Thomas Sauer

CRD Number: 4855999
Current Firm: Prudential Financial Planning Services

Thomas Sauer (CRD# 4855999) is an Investment Advisor Representative working at Prudential Financial Planning Services in Charlotte, NC and has over 19 years of experience in the finance industry. Thomas Sauer has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Prudential Insurance Company Of America Charlotte, NC Jan 2018 - Current 6
Pruco Securities, LLC Charlotte, NC Jan 2018 - Current 6
Olde Providence Racquet Club Charlotte, NC Jul 2016 - Current 7
Waddell & Reed Inc. Charlotte, NC Mar 2015 - Dec 2017 2
Various Insurance Carriers For W & R Insurance Agencies Charlotte, NC Mar 2015 - Dec 2017 2
Bank Of America, N.a. Charlotte,, NC Nov 2011 - Mar 2015 3
Merrill Lynch, Pierce, Fenner & Smith Incorporated Charlotte, NC Oct 2009 - Mar 2015 5
Self Employed: Real Estate Broker Charlotte, NE Jul 2004 - Jun 2014 9
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Nov 2004
By the Numbers
  • Total Assets Under Management
    14,029
    MILLIONS
  • Total Number of Accounts
    106,737
    ACCOUNTS
  • Average Account Value
    $131,438
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
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
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

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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Data verified by both the advisor and the public regulatory data.

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