TS
Thomas W. Saunders
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CRD#: 1217650
TS
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas William Saunders was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) DBA: GC WEALTH MANAGEMENT -11 Stone Gate South, Longwood, FL 32779; INVESTMENTS AND SECURITIES; INVESTMENT RELATED; FINANCIAL ADVISORS; SALES; 80% OF TIME SPENT 2) FIXED INSURANCE PRODUCTS - 11 Stone Gate South, Longwood, FL 32779; FIXED INSURANCE AGENCY; NON INVESTMENT RELATED; INSURANCE AGENT; SALES AND ADMINISTRATION; 20% OF TIME SPENT
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
July 7, 2015 - December 31, 2022
KOVACK ADVISORS, INC.
RIA
CRD#: 140808
Longwood, FL
Past
June 30, 2015 - December 31, 2022
KOVACK SECURITIES INC.
BD
CRD#: 44848
Longwood, FL
Past
January 2, 2015 - July 7, 2015
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
ORLANDO, FL
Past
January 2, 2015 - July 7, 2015
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
ORLANDO, FL
Past
October 8, 2012 - April 18, 2013
MARINER
RIA
CRD#: 151664
LONGWOOD, FL
Past
September 17, 2012 - January 2, 2015
NEW ENGLAND SECURITIES
RIA
CRD#: 615
LONGWOOD, FL
Past
September 14, 2012 - January 2, 2015
NEW ENGLAND SECURITIES
BD
CRD#: 615
LONGWOOD, FL
Past
October 26, 2009 - September 18, 2012
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
LONGWOOD, FL
Past
October 21, 2009 - September 18, 2012
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
LONGWOOD, FL
Past
February 9, 2004 - October 22, 2009
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
LONGWOOD, FL
Past
January 27, 2004 - October 22, 2009
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
LONGWOOD, FL
Past
February 24, 2003 - February 2, 2004
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
March 29, 2001 - March 3, 2003
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
NEW YORK, NY
Past
February 6, 1989 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
February 6, 1989 - March 3, 2003
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
February 20, 1987 - October 1, 1987
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
Past
February 20, 1987 - October 6, 1987
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
Past
February 15, 1984 - May 29, 1986
NYLIFE SECURITIES LLC
BD
CRD#: 5167
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KA
KOVACK ADVISORS, INC.
16:10 FINANCIAL | YOUNG WEALTH MANAGEMENT | YES FINANCIAL SERVICES | YERMAK FINANCIAL ADVISORS, INC. | WRIGHT FINANCIAL CONCEPTS, LLC | WORTH AVE WEALTH MANAGEMENT | WESTON FINANCIAL ADVISORS LLC | WEST INDIES WEALTH MANAGEMENT | WEALTH ADVISORS GROUP INC. | WEALTH & ESTATE BUILDERS LLC | VANDERWAAL GROUP, INC | VALUE INVESTMENT SERVICES | TRUE NORTH FINANCIAL ADVISORS | TKG FINANCIAL, LLC | THOMPSON WEALTH MANAGEMENT | THE PENSION GROUP | THE ENTERPRISE TEAM | THE DGR GROUP | THE AGBAY GROUP LLC | TAMPA 401K SPECIALISTS | TACTICAL INVESTMENT MANAGEMENT, INC. | SUNWEALTH MANAGEMENT | SUMMIT FINANCIAL SERVICES, INC. | STRATEGIES TO MAXIMIZE WEALTH | STRATEGIC PLANNING PARTNERS, LLC | STEWART FINANCIAL MANAGEMENT, INC. | STAVRIANOPOULOS CAPITAL INC. | SPECTRUM PLANNING GROUP | SMUNK LAYDON PRIVATE CLIENT GROUP | SMITH FINANCIAL & INSURANCE SOLUTIONS | SMC FINANCIAL SERVICES | SHASTA INVESTMENTS & ASSET MANAGEMENT | SCHEIRER WEALTH MANAGEMENT | SAA FINANCIAL LLC | RUMBLE & RUMBLE WEALTH MANAGEMENT | ROMERO INVESTMENT ADVISORS, LLC | ROCKEFELLER AND ASSOCIATES, LLC | RK ADVISORS, INC. | RALPH J. FETROW CONSULTING | R.K. ADVISORS, INC | PURSUIT WEALTH MANAGEMENT | PRM FINANCIAL SERVICES | PRIVATE WEALTH MANAGEMENT TREUST, LLC | POWER FINANCIAL SERVICES | PENNEY WISE WEALTH ADVISORS, LLC | PENN RISE ADVISORS, LLC | PATAGONIA FINANCIAL SERVICES, LLC | OXFORD RISK MANAGEMENT GROUP | OVERTURE INC. | OVERTURE ASSET MANAGEMENT | ORLANDO 401K SPECIALISTS | OIG WEALTH MANAGEMENT | OAK TREE GROUP | NICHOLAS FINANCIAL SERVICES, LLC | NEIL J. GLICKMAN & ASSOCIATES, INC. | MOUTON WEALTH MANAGEMENT | MELISSA MATSON LLC | MEISTER & ASSOCIATES LLC | MDN, INC. | MCM INVESTMENTS | MCCAULEY FINANCIAL SERVICES, LLC. | MCAPLIN FOSTER ADVISORS | M.A. NEAL FINANCIAL SERVICES | LMT RETIREMENT, LLC | LINDNER CAPITAL ADVISORS, INC. | LEGACY FINANCIAL NETWORK, LLC. | LBS WEALTH ADVISORS | LAZARI CAPITAL MANAGEMENT, INC. | LAZARI ASSET MANAGEMENT, INC | L.C. FINANCIAL SERVICES | KOVACK ADVISORS, INC. | KOEHLER WEALTH MANAGEMENT | KAC FINANCIAL SERVICES, INC. | JOHN URY TOTAL FINANCIAL SERVICES, INC. | JOHN P. FREUND LLC | JACKSONVILLE 401K SPECIALISTS | IVERSON WEALTH MANAGEMENT, LLC | HIGHLAND PATH FINANCIAL GROUP, LLC. | HG THOMAS WEALTH MANAGEMENT, LLC | HEDRICK PLANNING | HARBORVIEW INVESTMENTS | HALSEY AND COMPANY ADVISORY SERVICES, LLC | GULF COAST FINANCIAL STRATEGIES | GUARDIAN PLANNERS | GREEP WEALTH MANAGEMENT, LLC | GOVERNMENT & PENSION CONSULTANTS, INC. | GM FINANCIAL PLANNING | GERSON WEALTH MANAGEMENT LLC | GC WEALTH MANAGEMENT, LLC | GAVIX INVESTMENT MANAGEMENT, LLC | GANDY FINANCIAL GROUP | GAMMAN MANAGEMENT COMPANY | G V INVESTMENTS & RETIREMENT SOLUTIONS | FOUNTAIN FINANCIAL SERVICES | FOSTER FINANCIAL SERVICES | FOCUS ON FINANCIAL LLC | FLORIDA 457 SPECIALISTS | FIRST ASSET MANAGERS, INC. | FINANXIAL ASSET MANAGEMENT | FINANCIAL PLAN ADVISORS | FINANCIAL DESTINY, INC. | FERNANDEZ WEALTH MANAGEMENT | FCG WEALTH MANAGEMENT | FCG GROUP BENEFITS | FARO INVESTMENT MANAGEMENT | ESSENTIAL FINANCIAL SOLUTIONS, INC. | ESSENTIAL FINANCIAL AND INSURANCE SERVICES | ENGLAND FINANCIAL SERVICES | EDWARDS & ASSOCIATES FINANCIAL SERVICES, INC. | DTY WEALTH PLANNING SOLUTIONS | DOWD FINANCIAL GROUP, INC. | DONALD G. FOREMAN & CO. CPAS | DELUCA WEALTH MANAGEMENT | DELAWARE ADVISORY GROUP | DAVIS FINANCIAL | CRIFASI ENTERPRISES, INC | CREATIVE WEALTH PARTNERS, LLC | COX WEALTH MANAGEMENT | CORUJO FINANCIAL SERVICES, INC. | CLEARPATH CAPITAL MANAGEMENT, LLC | CERTIFIED MARKETING CENTERS | CEI FINANCIAL PLANNING | BROWN FINANCIAL GROUP | BRADLEY TEETS INVESTMENT SERVICES | BERGEY FINANCIAL | BENEDICT A MINTCHELL JR, INC. | BDR WEALTH MANAGEMENT LLC | BAKER FINANCIAL SERVICES | APEX FINANCIAL SERVICES GROUP | ANTHONY LOCASCIO CONSULTING, LLC | AMG LEGACY PLANNING | AMG CAPITAL, LLC | ALLIANCE WEALTH ADVISORS | AJS WEALTH MANAGEMENT GROUP | AARON SWANIER
CRD#: 140808 / SEC#: 801-63048
RIA
Registered Investment Advisory firm - (4/21/2004 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
KA
KOVACK ADVISORS, INC.
16:10 FINANCIAL | YOUNG WEALTH MANAGEMENT | YES FINANCIAL SERVICES | YERMAK FINANCIAL ADVISORS, INC. | WRIGHT FINANCIAL CONCEPTS, LLC | WORTH AVE WEALTH MANAGEMENT | WESTON FINANCIAL ADVISORS LLC | WEST INDIES WEALTH MANAGEMENT | WEALTH ADVISORS GROUP INC. | WEALTH & ESTATE BUILDERS LLC | VANDERWAAL GROUP, INC | VALUE INVESTMENT SERVICES | TRUE NORTH FINANCIAL ADVISORS | TKG FINANCIAL, LLC | THOMPSON WEALTH MANAGEMENT | THE PENSION GROUP | THE ENTERPRISE TEAM | THE DGR GROUP | THE AGBAY GROUP LLC | TAMPA 401K SPECIALISTS | TACTICAL INVESTMENT MANAGEMENT, INC. | SUNWEALTH MANAGEMENT | SUMMIT FINANCIAL SERVICES, INC. | STRATEGIES TO MAXIMIZE WEALTH | STRATEGIC PLANNING PARTNERS, LLC | STEWART FINANCIAL MANAGEMENT, INC. | STAVRIANOPOULOS CAPITAL INC. | SPECTRUM PLANNING GROUP | SMUNK LAYDON PRIVATE CLIENT GROUP | SMITH FINANCIAL & INSURANCE SOLUTIONS | SMC FINANCIAL SERVICES | SHASTA INVESTMENTS & ASSET MANAGEMENT | SCHEIRER WEALTH MANAGEMENT | SAA FINANCIAL LLC | RUMBLE & RUMBLE WEALTH MANAGEMENT | ROMERO INVESTMENT ADVISORS, LLC | ROCKEFELLER AND ASSOCIATES, LLC | RK ADVISORS, INC. | RALPH J. FETROW CONSULTING | R.K. ADVISORS, INC | PURSUIT WEALTH MANAGEMENT | PRM FINANCIAL SERVICES | PRIVATE WEALTH MANAGEMENT TREUST, LLC | POWER FINANCIAL SERVICES | PENNEY WISE WEALTH ADVISORS, LLC | PENN RISE ADVISORS, LLC | PATAGONIA FINANCIAL SERVICES, LLC | OXFORD RISK MANAGEMENT GROUP | OVERTURE INC. | OVERTURE ASSET MANAGEMENT | ORLANDO 401K SPECIALISTS | OIG WEALTH MANAGEMENT | OAK TREE GROUP | NICHOLAS FINANCIAL SERVICES, LLC | NEIL J. GLICKMAN & ASSOCIATES, INC. | MOUTON WEALTH MANAGEMENT | MELISSA MATSON LLC | MEISTER & ASSOCIATES LLC | MDN, INC. | MCM INVESTMENTS | MCCAULEY FINANCIAL SERVICES, LLC. | MCAPLIN FOSTER ADVISORS | M.A. NEAL FINANCIAL SERVICES | LMT RETIREMENT, LLC | LINDNER CAPITAL ADVISORS, INC. | LEGACY FINANCIAL NETWORK, LLC. | LBS WEALTH ADVISORS | LAZARI CAPITAL MANAGEMENT, INC. | LAZARI ASSET MANAGEMENT, INC | L.C. FINANCIAL SERVICES | KOVACK ADVISORS, INC. | KOEHLER WEALTH MANAGEMENT | KAC FINANCIAL SERVICES, INC. | JOHN URY TOTAL FINANCIAL SERVICES, INC. | JOHN P. FREUND LLC | JACKSONVILLE 401K SPECIALISTS | IVERSON WEALTH MANAGEMENT, LLC | HIGHLAND PATH FINANCIAL GROUP, LLC. | HG THOMAS WEALTH MANAGEMENT, LLC | HEDRICK PLANNING | HARBORVIEW INVESTMENTS | HALSEY AND COMPANY ADVISORY SERVICES, LLC | GULF COAST FINANCIAL STRATEGIES | GUARDIAN PLANNERS | GREEP WEALTH MANAGEMENT, LLC | GOVERNMENT & PENSION CONSULTANTS, INC. | GM FINANCIAL PLANNING | GERSON WEALTH MANAGEMENT LLC | GC WEALTH MANAGEMENT, LLC | GAVIX INVESTMENT MANAGEMENT, LLC | GANDY FINANCIAL GROUP | GAMMAN MANAGEMENT COMPANY | G V INVESTMENTS & RETIREMENT SOLUTIONS | FOUNTAIN FINANCIAL SERVICES | FOSTER FINANCIAL SERVICES | FOCUS ON FINANCIAL LLC | FLORIDA 457 SPECIALISTS | FIRST ASSET MANAGERS, INC. | FINANXIAL ASSET MANAGEMENT | FINANCIAL PLAN ADVISORS | FINANCIAL DESTINY, INC. | FERNANDEZ WEALTH MANAGEMENT | FCG WEALTH MANAGEMENT | FCG GROUP BENEFITS | FARO INVESTMENT MANAGEMENT | ESSENTIAL FINANCIAL SOLUTIONS, INC. | ESSENTIAL FINANCIAL AND INSURANCE SERVICES | ENGLAND FINANCIAL SERVICES | EDWARDS & ASSOCIATES FINANCIAL SERVICES, INC. | DTY WEALTH PLANNING SOLUTIONS | DOWD FINANCIAL GROUP, INC. | DONALD G. FOREMAN & CO. CPAS | DELUCA WEALTH MANAGEMENT | DELAWARE ADVISORY GROUP | DAVIS FINANCIAL | CRIFASI ENTERPRISES, INC | CREATIVE WEALTH PARTNERS, LLC | COX WEALTH MANAGEMENT | CORUJO FINANCIAL SERVICES, INC. | CLEARPATH CAPITAL MANAGEMENT, LLC | CERTIFIED MARKETING CENTERS | CEI FINANCIAL PLANNING | BROWN FINANCIAL GROUP | BRADLEY TEETS INVESTMENT SERVICES | BERGEY FINANCIAL | BENEDICT A MINTCHELL JR, INC. | BDR WEALTH MANAGEMENT LLC | BAKER FINANCIAL SERVICES | APEX FINANCIAL SERVICES GROUP | ANTHONY LOCASCIO CONSULTING, LLC | AMG LEGACY PLANNING | AMG CAPITAL, LLC | ALLIANCE WEALTH ADVISORS | AJS WEALTH MANAGEMENT GROUP | AARON SWANIER
CRD#: 140808 / SEC#: 801-63048
RIA
Registered Investment Advisory firm - (4/21/2004 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6451 N. Federal Hwy Suite 1201, Ft. Lauderdale, FL 33308
Mailing Address
Phone number
(954) 782-4771
Established
Firm type
Fiscal year end
# of Employees
330
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 19,809 |
| AUM (Assets Under Management) | $ 5,533,506,324 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
