Thomas Quinn
Thomas Quinn is a registered investment advisor at Ausdal Financial Partners, INC., based in Great River, NY, with 30 years of industry experience. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 10,402 clients with $2.1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Ausdal Financial Partners offers several investment management programs. Fees vary depending on the program and custodian.
Advisor Managed Account (AMP): Fees are negotiated with your advisor, with a maximum annual fee of 3%. Wrap accounts include all transaction costs, while non-wrap accounts charge separately for advisory services and transactions.
Third Party Managed Accounts (SMA/UMA): Fees consist of an Investment Advisor Representative Fee, a Platform Fee (0.11% to 0.28%), and a Manager Fee (0% to 0.80%).
Retirement Plan Advisory Program: Maximum annual fee of 3%. Fees can be a fixed percentage or tiered based on account assets.
Held Away Accounts (Pontera): Maximum advisory fee of 1.5% of account assets. Fees must be deducted from an alternate advisory account or billed directly to the client.
Location
Great River, NY
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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 →Employment History
Current Registrations
Ausdal Financial Partners, INC.
Ausdal Financial Partners, INC.
Ausdal Financial Partners, INC.Broker
Previous Registrations
Osaic Wealth, INC.
Osaic Wealth, INC.Broker
American Portfolios Advisors, INC
American Portfolios Financial Services, INC.Broker
Puma Capital, LLCBroker
Hudson Securities,inc.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Herzog, Heine, Geduld, LLCBroker
Bear, Stearns & CO. INC.Broker
Oppenheimer & CO., INC.Broker
Bear, Stearns & CO. INC.Broker
Oppenheimer & CO., INC.Broker
State Registrations3 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.