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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Edward Rice is an investment advisor representative registered with UBS Financial Services Inc. Thomas Rice is based in Northbrook, Illinois. Thomas Rice is registered with the state of Illinois and has been in the securities industry since March 24, 1982. Thomas Rice has 34 state registrations, 2 state IA registrations, and 1 FINRA registration. Thomas Rice has passed the Series 3, Series 7, Series 63, and Series 65 examinations. UBS Financial Services Inc. has over $50 billion in assets under management. The firm provides financial planning, educational seminars, portfolio management for individuals, and publication of periodicals.
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
IL
07/08/2003 - Present
UBS Financial Services Inc. (NORTHBROOK IL)
IA
Issued 03/01/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/25/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/04/1991
Series 3 - National Commodity Futures Examination
BC
Issued 03/20/1982
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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