Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Herr is a financial advisor with over 30 years of experience in the industry. Currently, Thomas is registered with Ausdal Financial Partners, Inc. Thomas has worked at several firms during his career, including Waterstone Financial Group, Inc., Lincoln Financial Advisors Corporation, The Lincoln National Life Insurance Company, Guardian Investor Services Corporation, Mutual of Omaha Fund Management Company, Kirkpatrick, Pettis, Smith, Polian Inc., Capital Financial Services, Inc., Coordinated Capital Securities of WI Inc. and Phoenix Equity Planning Corporation. Thomas is licensed to sell securities in Illinois, New Jersey, New York, Texas, Utah and Wisconsin. He holds Series 6, 7, 24 and 63 licenses and has also passed the SIE and Series 65 exams.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advice on uma platforms
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Revenue sharing
1
2
IL
03/11/2009 - Present
Ausdal Financial Partners, Inc. (CHICAGO IL)
IL
03/03/1995 - 02/27/2009
WATERSTONE FINANCIAL GROUP, INC. (CHICAGO IL)
IN
04/15/1994 - 03/14/1995
LINCOLN FINANCIAL ADVISORS CORPORATION (FORT WAYNE IN)
IN
04/15/1994 - 03/14/1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (FORT WAYNE IN)
NY
10/16/1991 - 04/07/1994
GUARDIAN INVESTOR SERVICES CORPORATION (NEW YORK NY)
NE
03/31/1989 - 02/14/1991
MUTUAL OF OMAHA FUND MANAGEMENT COMPANY (OMAHA NE)
NE
04/05/1989 - 12/31/1990
KIRKPATRICK, PETTIS, SMITH, POLIAN INC. (OMAHA NE)
ND
12/09/1987 - 03/13/1989
CAPITAL FINANCIAL SERVICES, INC. (MINOT ND)
NA
12/23/1986 - 12/10/1987
COORDINATED CAPITAL SECURITIES OF WI INC.
NA
07/17/1986 - 01/01/1987
CAPITAL FINANCIAL SERVICES, INC.
NA
04/23/1986 - 07/22/1986
PHOENIX EQUITY PLANNING CORPORATION
IA
Issued 12/18/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/22/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/03/1987
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/17/1987
Series 7 - General Securities Representative Examination
BC
Issued 04/22/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure Thomas Herr is the right advisor for you? Invested Better is here to help.
