Thomas Dunn
Thomas Dunn is a ChFC-designated registered investment advisor at Kestra Advisory Services, LLC, based in Katonah, NY, with 43 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 97,702 clients with $60B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Kestra Advisory Services' (Kestra AS) fees for managing your investments are a percentage of the value of your portfolio, up to a maximum of 2.5% per year. The exact percentage is determined by your advisor based on factors like the size of your account, the type of account (e.g., retirement), the services you receive, and the platform you choose. These fees are negotiable.
Kestra AS offers different advisory platforms with varying program fees that are deducted from the client fee you negotiate with your advisor. These platforms include AdvisorEnterprise, Horizon, and AdvisorChoice. Each platform has different features, costs, and minimum account sizes.
There are also third-party managed solutions available through platforms like Focus Partners Advisor Solutions, Symmetry Partners, SEI and AssetMark.
Location
Katonah, NY
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Thomas is an independent insurance broker for Ash Brokerage, Professional Group Marketing, Inc., and Westchester Benefit Group, Inc., selling fixed annuities, fixed life insurance, and health insurance plans, dedicating about 10-20% of his time to each of the first two and minimal time to the third. He is also the owner of Dunn Financial Services and an Investment Advisor Representative for Kestra Advisory Services, LLC, spending full-time hours on these activities.
Employment History
Current Registrations
Kestra Advisory Services, LLC
Kestra Investment Services, LLCBroker
Kestra Investment Services, LLC
Previous Registrations
1717 Capital Management Company
1717 Capital Management CompanyBroker
Cadaret, Grant & CO., INC.Broker
Aig Equity Sales CORP.Broker
Guardian Investor Services CorporationBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
First Jersey Securities, INC.Broker
State Registrations5 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.