Thomas
Sauer

Pruco Securities, LLC

CRD#4855999
Investment Advisor
in Charlotte, NC
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About this Advisor

Thomas Sauer is a certified financial planner based out of Charlotte, North Carolina, with 14 years in the industry. Sauer currently works for Pruco Securities, LLC. Their career trajectory has included roles at Bank Of America Investment Services, Inc, Merrill Lynch, Pierce, Fenner & Smith Inc, Bank Of America, N.A, Self Employed: Real Estate Broker, Waddell & Reed Inc, Various Insurance Carriers For W & R Insurance Agencies, Pruco Securities LLC, Olde Providence Racquet Club and The Prudential Insurance Company Of America. Sauer maintains a Series 66 license, which qualifies them as both a securities agent and an investment advisor representative, and is registered to work in North Carolina. Pruco Securities, LLC is a company headquartered in Charlotte, North Carolina. The company has offices in 113 locations and a total of 2,600 people on staff. It oversees $6 billion in assets under management across its 47,024 accounts, making it one of the largest investment advisory firms in the nation by assets under management. Of its 47,024 client accounts, just 1% belong to high-net-worth individuals who have greater than $1 million in assets available to invest. The business has a diverse array of services, including financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, selection of other advisers and educational seminars. Fees charged by financial advisors usually are based on the type of services. Fee types billed by Pruco Securities, LLC may include asset-based, hourly and fixed fees.

Certifications and Registrations

Series 66, Certified Financial Planner

Years of Experience

14 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Selection of other advisers, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees

Disclosures

No

Office Location

2701 Coltsgate Road Suite 220
Charlotte, NC 28211

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Pruco Securities, LLC Brokerage Details

Total Assets Under Management

$6,255,867,081

NC Average: $10,121,009,343
Total Number of Employees

2,600

NC Average: 92
Total Number of Accounts

47,024

NC Average: 6,978
Average Account Size

$133,036

NC Average: $1,450,417

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Selection of other advisers
  • Educational seminars/workshops

Thomas Sauer Work History

Thomas has 14 years of experience.

2018 - Present (1 years)

Pruco Securities LLC

2018 - Present (1 years)

The Prudential Insurance Company Of America

2016 - Present (3 years)

Olde Providence Racquet Club

2015 - 2017 (2 years)

Waddell & Reed Inc

2015 - 2017 (2 years)

Various Insurance Carriers For W & R Insurance Agencies

2011 - 2015 (4 years)

Bank Of America, N.A

2009 - 2015 (6 years)

Merrill Lynch, Pierce, Fenner & Smith Inc

2005 - 2009 (4 years)

Bank Of America Investment Services, Inc

2004 - 2014 (10 years)

Self Employed: Real Estate Broker

Disclosures

Thomas Sauer has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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