Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you S a? Claim Your ProfileS a Thomas is a financial advisor with UBS Financial Services Inc. S a has been in the financial services industry since 1996 and has a total of 43 active state registrations. S a specializes in a variety of areas including portfolio management for individuals and businesses, financial planning, and pension consulting. S a's firm, UBS Financial Services Inc., manages over $700 billion in assets and provides a variety of financial services to individuals, businesses, and institutions.
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
GA
02/26/2014 - Present
UBS Financial Services Inc. (ATLANTA GA)
GA
06/01/2009 - 01/22/2014
MORGAN STANLEY (ATLANTA GA)
GA
08/12/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (ATLANTA GA)
NY
07/23/1999 - 08/18/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
PA
09/30/1996 - 07/30/1999
JANNEY MONTGOMERY SCOTT INC. (PHILADELPHIA PA)
NY
02/06/1996 - 10/29/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 02/22/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/15/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/05/1996
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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