Thomas Alfred Saunders
Professional Summary
Thomas Alfred Saunders, who also goes by Thomas A Saunders, was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1988 - 2006. Thomas had worked at 6 firms and has passed the Series 63, Series 3, Series 7, Series 53, Series 4, Series 24 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas A Saunders
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
38 years in the financial services industry
Current & Past Employments
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Current Firm
JOSEPH & GRACE HOLDINGS, INC. | JOSEPH GRACE HOLDINGS, INC. | JOSEPH GRACE
Contact Information
Main Address
48 Wall Street 11th Fl. 11th Flr, New York, NY, 10005Mailing Address
48 Wall Street 11th Fl., New York, NY, 10005Phone Number
(212) 461-2280Established
Delaware since 03/26/1999Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
5FINRA licenses (26 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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