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Thomas C. Prescott, Jr.

Thomas C. Prescott, Jr. is a co-founder and Managing Member of ASN and is responsible for strategic consulting and relationship management for the firm. Tom brings more than 40 years of financial services industry and consulting experience to ASN, with particular expertise providing compliance, risk management, and operations services to Investment Advisor Representatives (IARs).

In 1987, Tom formed Prescott & Associates, which would later become Mainstay Capital Markets Consultants, Inc. (“Mainstay”), to provide comprehensive consulting services to broker/dealers, investment advisers, banks, money managers, pension plans, corporations, and securities attorneys. In 2010, Dave and the principals of Mainstay founded ASN to serve as a strategic partner for IARs.

Tom began his career in the financial services industry in 1980 with Lehman Brothers Kuhn Loeb, Inc.