Thomas Wynn
Ben Lomond, California, 95005
Member Since 2006
My goal is to improve the quality of life for the clients that I serve. I provide my clients with direct access to their money manager and remove the costly layers of representatives, managers and analysts that stand between most investors and their investments. My 30 years of experience in the industry and 15 years on the floor of the exchange give me a unique and valuable tool-set to offer my clients. I provide my clients with the peace of mind that comes from knowing that their assets are being managed with skill, discipline and integrity.
My Location
Background Information
Years of Financial Experience
- 30
Education
- Stetson University (Stetson Univ 1976/Did not graduate)
- Florida State University (Florida State Univ 1977/Did not graduate)
Methods of Compensation
- Financial Planning: Asset-based fee, Hourly fee, Fixed fee
- Investment Services: Asset-based fee, Hourly fee, Fixed fee
Full Disclosure
- I practice full disclosure for credentials, ethics, business practices, compensation, potential conflicts of interests, and financial services.
Primary Custodian(s)
- TD Waterhouse/Ameritrade
- Vanguard
- Fidelity
Types of Financial Reports
- Performance Report (Quarterly)
- Custodial Report (Monthly)
- Newsletter (Quarterly)
Additional Business Practices
- I provide a written agreement to clients before I provide any advice or services.
- I work with remote clients over the telephone and Internet
- My clients have online access to their financial data
- I review my clients' financial plans with them quarterly
- I review my clients' investment portfolios with them quarterly and upon request
Registration & Licensing
- CRD/IARD Number: 2322640
- Securities Registrations: Series 66
- Insurance Licenses: None
Company Names
- Registered Investment Advisor: Wynn Capital Management, LLC
- Broker/Dealer: None
Fiduciary Status
- Acknowledged Fiduciary in advisory relationships
Compliance Record
- No Disclosures
Criminal Record
- No Disclosures
Disclosure(s)
Planning Services
- Financial Planning, Retirement, College Funding, Charitable, Tax, For complex planning cases I refer to experts in their respective fields.
Investment Services
- Strategy Development, Written investment policy, Asset allocation, Re-Balancing, Active Managers, Passive Managers, Risk Management, Performance Reporting, Tax Efficient Strategies, Review Current Portfolios, After establishing a custom, diversified core portfolio I add value through tactical allocation, options strategies and tax efficient investing.
Investment Products
- None
Visit Website - http://www.wynncapital.com/
