Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Charles Dunn is a financial advisor at UBS Financial Services Inc. with over 20 years of experience in the financial services industry. Thomas is registered with the state of California and is a licensed agent in 47 states. Prior to joining UBS, Thomas worked as a screenwriter/director. Thomas is also a registered representative with the Financial Industry Regulatory Authority (FINRA). Thomas specializes in providing financial advice to individuals, businesses, and charitable organizations. Thomas is committed to helping 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
NY
09/06/2017 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
07/01/1997 - 04/24/1998
FOSTER JEFFRIES SECURITIES, LLC (WESTBURY NY)
NY
10/22/1996 - 07/28/1997
GLOBAL EQUITIES GROUP INC (NEW YORK NY)
NY
03/25/1996 - 10/15/1996
DUKE & CO., INC. (NEW YORK NY)
BOTH
Issued 09/06/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/27/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/19/2017
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
Not sure Thomas Dunn is the right advisor for you? Invested Better is here to help.
