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Thomas Abboud

Abboud Financial Planning, INC.
21 Years of Experience
Castle Rock, CO
1 Disclosure
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Thomas Abboud is a registered investment advisor at Abboud Financial Planning, INC., based in Castle Rock, CO, with 21 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 62 clients with $25M in assets under management.

Abboud Financial Planning, INC.
Compensation
Fee-Only (% of Portfolio)
Firm Size
1 advisor
Number of Clients
62 clients
Average Client Portfolio
$405K average
Assets Under Management
$25.1M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $50K2.00%
$50K - $250K1.75%
$250K - $1.0M1.50%
$1M+1.00%

Fees are billed monthly in arrears. The entire portfolio is charged at the single applicable breakpoint rate. Fees may be negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Castle Rock, CO

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
October 2017
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Abboud Financial Planning, INC.
November 2017 - Present · 8 yrs 11 mos
Previous Registrations
Securities America, INC.Broker
September 2015 - October 2017 · 2 yrs 1 mo
Securities America Advisors, INC.
September 2015 - October 2017 · 2 yrs 1 mo
LPL Financial LLCBroker
May 2014 - September 2015 · 1 yr 4 mos
LPL Financial LLC
May 2014 - September 2015 · 1 yr 4 mos
Metlife Securities INC.
May 2011 - May 2014 · 3 yrs
Metlife Securities INC.Broker
April 2011 - May 2014 · 3 yrs 1 mo
VALIC Financial Advisors, INC.
February 2011 - April 2011 · 2 mos
VALIC Financial Advisors, INC.Broker
October 2010 - April 2011 · 6 mos
Jackson National Life Distributors LLCBroker
February 2008 - October 2010 · 2 yrs 8 mos
E*trade Securities LLCBroker
April 2006 - February 2008 · 1 yr 10 mos
Edward JonesBroker
June 2005 - April 2006 · 10 mos
State Registrations2 states
CONE
Advisor

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.
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