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Thomas Franz
33 Years of Experience
Manhasset, NY
1 DisclosureBroker
Thomas Franz is a registered investment advisor at Charles Schwab & CO., INC., based in Manhasset, NY, with 33 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning.
Compensation
Fixed/Hourly
Firm Size
8109 advisors
Number of Clients
Not specified
Average Client Portfolio
Not specified
Fee Structure
Planning is included in investment management
Minimum Annual Fee:$1,000
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 0.80% |
| $1.0M - $2.0M | 0.75% |
| $2.0M - $5.0M | 0.70% |
| $5.0M - $10.0M | 0.50% |
| $10.0M - $25.0M | 0.30% |
| $25M+ | 0.30% |
Fee schedule effective October 1, 2024. Clients enrolled prior to this date may have grandfathered fee schedules. Fees may be negotiable for assets over $25 million.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
1900 Northern Blvd, Suite E, Manhasset, NY, 11030
Get directionsHistory
Regulatory History (1)
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Customer Dispute
August 2008Settled
Employment History
Current Registrations
Charles Schwab & CO., INC.
April 2021 - Present · 5 yrs 1 mo
Charles Schwab & CO., INC.Broker
July 2008 - Present · 17 yrs 10 mos
Previous Registrations
Citigroup Global Markets INC.Broker
May 2008 - June 2008 · 1 mo
Strategic Advisers, INC.
October 2005 - February 2007 · 1 yr 4 mos
Fidelity Brokerage Services LLCBroker
June 1996 - May 2008 · 11 yrs 11 mos
Purcell Graham IncorporatedBroker
December 1995 - January 1996 · 1 mo
Fis Securities, INC.Broker
March 1993 - March 1994 · 1 yr
Gabelli & Company, INC.Broker
April 1991 - February 1993 · 1 yr 10 mos
Invest Financial CorporationBroker
July 1989 - June 1990 · 11 mos
State Registrations15 states
CACTFLGAKYMAMDNCNJNYOHORPAVTWY
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.