Thomas J. Saunders

WINTHROP PARTNERS - WNY

BUFFALO, NY 14203

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CRD#: 2854359

Professional summary

Thomas John Saunders JR., who also goes by Saunders, is a registered financial advisor currently at WINTHROP PARTNERS - WNY, LLC located in Buffalo, New York.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Thomas has worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Saunders

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.

BEEK STREET PARTNERS, LLC - DOYLESTOWN, PA. 18901 - START DATE- 06/01/2007 - RENT FROM A REAL ESTATE PATERNISHIP 1 PROPERTY - 5HRS PER MONTH. WE OWN A 8 CAR GARAGE - MY ACTIVITIES INCLUDING: COLLECTING RENT, MAKING DEPOSITS & MINOR REPAIRS. 2. 04/23/10 - REAL ESTATE RENTAL/BEEK STREET PARTNERS, LLC/DOYLESTOWN, PA 18901 - WE OWN AN 8 CAR CARAGE. 5% OF TIME.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas John Saunders JR.'s CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 30, 2021 - Present

WINTHROP PARTNERS - WNY, LLC

Office #1: 295 Main Street Suite 840, Buffalo, NY 14203

RIA

CRD#: 282100

BUFFALO, NY

Past

February 6, 2016 - December 31, 2020

WINTHROP PARTNERS - WNY, LLC

RIA

CRD#: 282100

BUFFALO, NY

Past

January 13, 2016 - December 31, 2016

WINTHROP PARTNERS - WPA , LLC

RIA

CRD#: 282102

BUFFALO, NY

Past

November 4, 2014 - October 3, 2016

LOCUST CAPITAL MANAGEMENT LLC

RIA

CRD#: 148148

PHILADELPHIA, PA

Past

April 7, 2010 - July 15, 2014

LPL FINANCIAL LLC

CRD#: 6413

PLYMOUTH MEETING, PA

Past

August 27, 2009 - March 15, 2010

BNY MELLON SECURITIES CORPORATION

CRD#: 231

PHILADELPHIA, PA

Past

September 27, 2007 - January 9, 2009

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

WAYNE, PA

Past

October 1, 2000 - June 15, 2007

BROWN BROTHERS HARRIMAN & CO.

CRD#: 104487

PHILADELPHIA, PA

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".

WINTHROP PARTNERS - WNY, LLC

LOCUST CAPITAL MANAGEMENT-WNY, LLC | WINTHROP PARTNERS - WNY, LLC

CRD#: 282100 / SEC#: 801-106948

RIA

Registered Investment Advisory firm - (12/15/2015 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(7/15/2022)

IAR

Pennsylvania
(7/30/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/4/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/31/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/1/2000

General Securities Representative Examination

Current Firm

WINTHROP PARTNERS - WNY, LLC

LOCUST CAPITAL MANAGEMENT-WNY, LLC | WINTHROP PARTNERS - WNY, LLC

CRD#: 282100 / SEC#: 801-106948

RIA

Registered Investment Advisory firm - (12/15/2015 Approved)

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Contact information

Main Address

295 Main Street Suite 840, Buffalo, NY 14203

Mailing Address

Phone number

(716) 322-7478

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025 FORM ADV PART 2A AMENDED (9/3/2025)

Regulatory assets under management

Total Number of Accounts	284
AUM (Assets Under Management)	$ 167,851,221

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.

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Thomas J. Saunders

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas John Saunders JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

WINTHROP PARTNERS - WNY, LLC

WINTHROP PARTNERS - WPA , LLC

LOCUST CAPITAL MANAGEMENT LLC

LPL FINANCIAL LLC

BNY MELLON SECURITIES CORPORATION

UVEST FINANCIAL SERVICES GROUP, INC.

BROWN BROTHERS HARRIMAN & CO.

Primary Firm SEC Registration

WINTHROP PARTNERS - WNY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/4/2014

Series 63

Date: 1/31/1997

Series 7

Date: 10/1/2000

Current Firm

WINTHROP PARTNERS - WNY, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WINTHROP PARTNERS - WNY, LLC

TRUST BUT VERIFY

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