Thomas Sauer is a CFP-designated registered investment advisor, based in Charlotte, NC, with 21 years of industry experience. Thomas is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Charlotte, NC
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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 ActivitiesSells Insurance
Thomas sells fixed insurance products as an insurance agent since 2004, dedicating full-time hours to this activity. He also owns Integrity Capital Management, a financial services firm, and spends full-time hours on financial advisory and planning.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
Waddell & ReedBroker
Waddell & Reed
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Banc of America Investment Services, INC.
Banc of America Investment Services, INC.Broker
Thrivent Investment Management INC.
Thrivent Investment Management 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.
Exams
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