Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Doyle Lafountain is a financial advisor with over 30 years of experience in the financial services industry. Thomas is currently registered with UBS Financial Services Inc. in Portland, ME, and holds a variety of licenses and certifications. Previously, Thomas worked for several other firms, including BANC OF AMERICA INVESTMENT SERVICES, INC., QUICK & REILLY, INC., FLEET SECURITIES, INC., and ADVEST, INC. Thomas offers a wide range of services to individuals, families, and businesses. He is committed to helping his 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
ME
09/22/2006 - Present
UBS Financial Services Inc. (PORTLAND ME)
ME
10/20/2004 - 09/28/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (PORTLAND ME)
NY
01/02/2001 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
TX
02/02/1998 - 01/02/2001
FLEET SECURITIES, INC. (DALLAS TX)
NY
04/08/1992 - 02/02/1998
FLEET SECURITIES INC. (NEW YORK NY)
CT
08/23/1991 - 04/03/1992
ADVEST, INC. (HARTFORD CT)
MN
06/18/1991 - 08/06/1991
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
06/18/1991 - 08/06/1991
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
MA
05/30/1989 - 07/01/1991
COMMONWEALTH EQUITY SERVICES, INC. (WALTHAM MA)
TX
04/13/1989 - 06/20/1989
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NA
02/17/1987 - 10/04/1988
FIDELITY BROKERAGE SERVICES, INC.
NA
08/19/1986 - 10/21/1986
FIRST JERSEY SECURITIES, INC.
IA
Issued 08/31/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/10/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/26/2001
Series 53 - Municipal Securities Principal Examination
BC
Issued 07/18/1988
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 72 - Government Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/16/1986
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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