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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Simon? Claim Your ProfileSimon Mark Thomas is an active investment advisor representative with UBS Financial Services Inc. in Miami, Florida. He is also a registered investment advisor in Florida, New Jersey and New York. Simon has been in the industry since 2008 and has experience with UBS International Inc., PRUCO Securities Corporation and UBS AG. He has held positions in both Newark, New Jersey and Miami. Simon is a graduate of the Uniform Combined State Law Examination. His previous employment history includes roles at UBS Financial Services Inc. and UBS International Inc. Simon holds Series 6, 7 and 66 securities licenses and the SIE exam. He is a specialist in areas including Retirement Planning, College Savings Plans, Annuities, Mutual Funds, Stocks, Bonds and ETFs. His experience provides a broad base of knowledge and expertise to help clients achieve their financial goals.
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
FL
10/27/2023 - Present
UBS Financial Services Inc. (MIAMI FL)
NY
08/07/2008 - 01/01/2010
UBS INTERNATIONAL INC. (NEW YORK NY)
NJ
09/02/1998 - 02/03/1999
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BOTH
Issued 12/22/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/6/2008
Series 7 - General Securities Representative Examination
BC
Issued 9/1/1998
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
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