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 Pelino is a financial advisor with over 40 years of experience in the financial services industry. He is currently registered with UBS Financial Services Inc. in California, Florida and Texas. Thomas has a strong track record of providing financial advice and investment management services to a wide range of clients, including high-net-worth individuals, corporations, and institutions. He holds the Series 7, Series 63, and Series 65 licenses. Thomas is also a Chartered Financial Analyst (CFA). He is committed to providing his clients with personalized financial solutions that meet their specific needs and 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
CA
05/10/2013 - Present
UBS Financial Services Inc. (CARMEL CA)
CA
06/01/2009 - 05/21/2013
MORGAN STANLEY (MONTEREY CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (MONTEREY CA)
CA
11/17/2006 - 04/02/2007
MORGAN STANLEY DW INC. (MONTEREY CA)
CA
08/07/2000 - 11/21/2006
WACHOVIA SECURITIES, LLC (CARMEL CA)
NY
02/25/1988 - 08/10/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
05/14/1988 - 08/01/1988
SHEARSON LEHMAN HUTTON INC.
NA
02/23/1981 - 05/14/1988
E. F. HUTTON & COMPANY INC
IA
Issued 07/12/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/03/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/09/1981
Series 5 - Interest Rate Options Examination
BC
Issued 02/21/1981
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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