Thomas Herrick Sauer

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2015 → 12/2017
  Waddell & Reed Inc
  Charlotte, NC
• 03/2015 → 12/2017
  Various Insurance Carriers For W & R Insurance Agencies
  Charlotte, NC
• 07/2016 → 10/2020
  Olde Providence Racquet Club
  Charlotte, NC
• 01/2018 → 09/2024
  Prudential Insurance Company Of America
  Charlotte, NC
• 01/2018 → 10/2024
  Pruco Securities, Llc.
  Charlotte, NC
• 10/2024 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 09/2024 → Present
  Integrity Capital Management
  Charlotte, NC
• 10/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 07/2026 → Present
  Prosperity Wealth Management
  Charlotte, NC

Previous Registrations

• 2018-01-25 → 2024-10-25
  Pruco Securities, Llc.
  Charlotte, NC
• 2015-03-25 → 2018-01-08
  Waddell & Reed
  Charlotte, NC
• 2009-10-23 → 2015-03-23
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Charlotte, NC
  Charlotte, NC
  Charlotte, NC
  Charlotte, NC
  New York, NY
  Charlotte, NC
  Charlotte, NC
  Charlotte, NC
• 2005-07-12 → 2009-10-23
  Banc Of America Investment Services, Inc.
  Charlotte, NC
  Charlotte, NC
• 2005-01-14 → 2005-06-24
  Thrivent Investment Management Inc.
  Charlotte, NC

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 10/2004 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS FIXED INSURANCE PRODUCTS ; 2. NAME OF OTHER BUSINESS: INTEGRITY CAPITAL MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 09/2024 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 50 APX NUMBER OF HOURS DURING TRADING HOURS: 35 BRIEF DESCRIPTION OF DUTIES: FINANCIAL ADVISORY & PLANNING; 3. NAME OF OTHER BUSINESS: PROSPERITY WEALTH MANAGEMENT INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 07/2026 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams

• S66 Uniform Combined State Law Examination
  2004-11-18

Designations

• Certified Financial Planner

Other Names

• Tom Sauer