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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 Rosellini is a financial advisor with UBS Financial Services Inc., registered in Hawaii and Texas. Thomas has been in the financial services industry for over two decades, and has extensive experience in portfolio management, financial planning, and providing educational seminars. Thomas holds a Series 6, 7, 31, and 63 licenses as well as the SIE and Series 65 exams. Thomas has a strong track record of helping clients reach their financial goals. Thomas previously worked at MORGAN STANLEY SMITH BARNEY and CITIGROUP GLOBAL MARKETS INC.
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
HI
12/10/2010 - Present
UBS Financial Services Inc. (LIHUE HI)
TX
06/01/2009 - 12/23/2010
MORGAN STANLEY SMITH BARNEY (HOUSTON TX)
TX
12/19/2002 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (HOUSTON TX)
NJ
12/01/1993 - 03/04/1996
PRUCO SECURITIES CORPORATION (NEWARK NJ)
IA
Issued 03/10/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/04/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 12/18/2002
Series 7 - General Securities Representative Examination
BC
Issued 11/30/1993
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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