Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Crawford Wertz is a financial advisor with over 40 years of experience in the financial services industry. Wertz began his career at Ferris & Company, Incorporated in 1972 and has held positions at several other firms, including Johnston, Lemon & Co. Incorporated, First Virginia Management and Research Corporation, A. G. Edwards & Sons, Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Wertz is currently registered with UBS Financial Services Inc. and holds several professional licenses and certifications, including Series 7, Series 63, Series 65, and the SIE exam. Wertz is a board member on the Finance Committee of St Jude Children's Research Hospital.
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
DC
02/14/2024 - Present
UBS Financial Services Inc. (WASHINGTON DC)
NY
04/24/1980 - 12/12/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
08/15/1972 - 05/24/1980
A. G. EDWARDS & SONS, INC.
NA
06/19/1972 - 08/13/1972
FERRIS & COMPANY, INCORPORATED
NA
02/03/1971 - 06/26/1972
JOHNSTON, LEMON & CO. INCORPORATED
NA
09/03/1970 - 08/29/1971
FIRST VIRGINIA MANAGEMENT AND RESEARCH CORPORATION
IA
Issued 7/21/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 1/14/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/23/1977
PC - AMEX Put and Call Exam
BC
Issued 8/26/1970
Series 1 - Registered 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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