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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas e.? Claim Your ProfileThomas Edworth Phillips is a registered investment advisor representative with UBS Financial Services Inc. Thomas Phillips has been in the securities industry since December 22, 1968 and is currently registered with UBS Financial Services Inc. in Virginia and Texas. Thomas Phillips is also registered in the state of Virginia as an Investment Advisor Representative and is registered in Texas as an Investment Advisor Representative. Prior to joining UBS Financial Services Inc., Thomas Phillips was affiliated with PAINE, WEBBER, JACKSON & CURTIS INCORPORATED and ABBOTT, PROCTOR & PAINE. Thomas Phillips is a member of the Bull 7 Bear Club and has served as a mentor for business students at VCU Business School. He is also the proprietor of Meadowbrook Associates LLC, a real estate investment company. Thomas Phillips has a broad range of experience in the financial services industry, and is committed to providing his clients with personalized and comprehensive financial advice.
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
VA
08/27/1991 - Present
UBS Financial Services Inc. (RICHMOND VA)
NA
02/02/1970 - 01/31/1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
NA
12/23/1968 - 08/12/1971
ABBOTT, PROCTOR & PAINE,
IA
Issued 06/21/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/01/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/27/1987
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/23/1967
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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