Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Arthur Murphy is a financial advisor with over 30 years of experience in the financial services industry. Thomas has a broad range of experience, having worked with several firms including Lehman Brothers Inc., Prudential Securities Incorporated, and Wachovia Securities, LLC. Thomas is currently registered with UBS Financial Services Inc. as a Registered Representative and an Investment Advisor Representative. Thomas is licensed in multiple states including New York, New Jersey, California, and Texas. He is committed to providing comprehensive financial planning and investment management services to a wide range of clients, including high-net-worth individuals, families, businesses, and retirement plans.
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
NY
09/03/2024 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
07/01/2003 - 10/19/2006
WACHOVIA SECURITIES, LLC (NEW YORK NY)
NY
02/14/1992 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
08/20/1990 - 03/05/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
02/27/1990 - 09/13/1990
COWEN & CO. (NEW YORK NY)
NA
03/06/1989 - 01/24/1990
J. W. GANT & ASSOCIATES, INC.
NA
08/23/1988 - 03/10/1989
INVESTORS CENTER, INC.
IA
Issued 12/15/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/08/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/18/1993
Series 3 - National Commodity Futures Examination
BC
Issued 08/20/1988
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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