Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn David Thomas is a financial advisor registered with UBS Financial Services Inc. John has been working in the financial industry since 1983 and is licensed to provide investment advice in 35 states. John has been with UBS Financial Services Inc. since January 2009 and is registered with the firm in Tennessee and Texas. Previously, John worked with CITIGROUP GLOBAL MARKETS INC., Lehman Brothers Inc., E. F. Hutton & Company Inc, and First Investors Corporation. John holds several industry licenses and designations including Series 6, Series 7, Series 63 and Series 65. John is also a member of the Autism Society of America East TN Chapter and the Community Health Alliance.
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
TN
03/11/2009 - Present
UBS Financial Services Inc. (KNOXVILLE TN)
TN
07/31/1993 - 02/03/2009
CITIGROUP GLOBAL MARKETS INC. (KNOXVILLE TN)
NY
05/14/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
04/30/1985 - 05/14/1988
E. F. HUTTON & COMPANY INC
NA
07/08/1983 - 04/24/1985
FIRST INVESTORS CORPORATION
IA
Issued 01/27/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/07/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/22/1985
Series 7 - General Securities Representative Examination
BC
Issued 07/07/1983
Series 6 - Investment Company Products/Variable Contracts 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
Not sure John Thomas is the right advisor for you? Invested Better is here to help.
