Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Edward Humphreys is an investment advisor representative registered with UBS Financial Services Inc. Thomas has been in the financial industry since May 2003. Thomas has worked at UBS Financial Services Inc. in Weehawken, NJ and Hartford, CT. Prior to that, Thomas worked for PLANCO FINANCIAL SERVICES, LLC in Hartford, CT and HARTFORD EQUITY SALES COMPANY INC. in Hartford, CT. Thomas has been registered as an Investment Advisor Representative since November 2015.
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
CT
06/16/2016 - Present
UBS Financial Services Inc. (HARTFORD CT)
NJ
03/08/2007 - 07/22/2015
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
CT
04/04/2006 - 02/20/2007
PLANCO FINANCIAL SERVICES, LLC (HARTFORD CT)
CT
02/04/2003 - 04/07/2006
HARTFORD EQUITY SALES COMPANY INC. (HARTFORD CT)
BOTH
Issued 11/12/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/21/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/03/2007
Series 7 - General Securities Representative Examination
BC
Issued 02/03/2003
Series 6 - Investment Company Products/Variable Contracts 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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