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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas B. Keene is a financial advisor with over 30 years of experience in the industry. Thomas is currently registered with Morgan Stanley in Alabama and Texas. Prior to joining Morgan Stanley, Thomas was registered with UBS Financial Services Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Regions Investment Company, Inc.. Thomas has a wide range of experience, including financial planning, portfolio management, and investment advisory services. Thomas is also registered to provide investment advice to individuals, businesses, investment companies, and pension 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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
AL
09/17/2021 - Present
Morgan Stanley (Huntsville AL)
AL
12/01/2008 - 09/23/2021
UBS FINANCIAL SERVICES INC. (HUNTSVILLE AL)
AL
01/21/2000 - 12/02/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HUNTSVILLE AL)
AL
01/09/1998 - 11/22/1999
REGIONS INVESTMENT COMPANY, INC. (BIRMINGHAM AL)
NY
02/27/1990 - 01/06/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 02/11/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/16/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/24/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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