Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Ashley Stacy is a financial advisor with over 15 years of experience in the industry. Thomas is currently registered with UBS Financial Services Inc. Thomas has a broad range of experience and expertise in areas including financial planning, portfolio management, and pension consulting. Previously, Thomas was employed with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Thomas holds multiple licenses including Series 3, 7, 9, 10, 31, 63, and 65 and is registered to provide investment advice in 51 states and the District of Columbia.
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
TX
09/14/2007 - Present
UBS Financial Services Inc. (DALLAS TX)
TX
08/15/2002 - 09/17/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DALLAS TX)
IA
Issued 09/11/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/24/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/30/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/22/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/22/2008
Series 3 - National Commodity Futures Examination
BC
Issued 01/30/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 08/14/2002
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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