Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Edward? Claim Your ProfileEdward Tom is a financial advisor with over 35 years of experience in the industry. Edward has been with UBS Financial Services Inc. since 2001, prior to that, Edward worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Edward has a wide range of experience and specializes in providing financial planning, portfolio management for individuals and businesses, pension consulting, and educational seminars. Edward is registered with the state of California and Texas.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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.
See schedule d - miscellaneous
1
2
CA
09/12/2022 - Present
UBS Financial Services Inc. (PASADENA CA)
NY
05/21/1987 - 06/27/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 04/11/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/17/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/16/1987
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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