Thomas Arthur
Thomas Arthur is a registered investment advisor at A.G.P / Alliance Global Partners, based in Newport Beach, CA, with 31 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 6,959 clients with $2.3B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
A.G.P. charges a percentage of your portfolio each year, up to 3%. The exact fee is negotiable and will be outlined in your investment management agreement. Fees are payable quarterly in advance. A.G.P. may group related accounts to calculate your fee. A.G.P. also offers a wrap account with fees up to 2% annually, which includes advisory, brokerage, and custodial services.
Location
1201 Dove Street, Suite 200, Newport Beach, CA, 92660
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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 →Other Business Activities
Thomas owns a rental home in Scottsdale, AZ and spends minimal time managing the property.
Employment History
Current Registrations
A.G.P. / Alliance Global PartnersBroker
A.G.P / Alliance Global Partners
Previous Registrations
Chase Investment Services CORP.
Chase Investment Services CORP.Broker
U.S. Bancorp Investments, INC.
U.S. Bancorp Investments, INC.Broker
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
Atlas Securities, LLCBroker
Principal Financial Securities,inc.Broker
Sutro & CO. IncorporatedBroker
John Hancock Mutual Life Insurance CompanyBroker
John Hancock Distributors, INC.Broker
State Registrations39 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.