Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas O'Rourke is a financial advisor with UBS Financial Services Inc. Thomas has been in the industry since 1983. Thomas has a strong background in financial services, having worked for a number of reputable firms including Morgan Stanley, Citigroup Global Markets Inc., and Lehman Brothers Inc. Thomas is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7, Series 63, and Series 65 licenses. Thomas provides financial planning, portfolio management, and other advisory services to a variety of clients, including individuals, businesses, and institutions. Thomas is committed to providing his clients with personalized financial advice and guidance to help them achieve their financial 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
NJ
04/05/2013 - Present
UBS Financial Services Inc. (SHORT HILLS NJ)
NJ
06/01/2009 - 04/25/2013
MORGAN STANLEY (SHORT HILLS NJ)
NJ
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SHORT HILLS NJ)
NY
07/02/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
MO
09/04/1990 - 07/09/1993
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NA
10/28/1986 - 09/04/1990
PRESCOTT, BALL & TURBEN, INC.
NA
03/22/1985 - 11/04/1986
JOSEPHTHAL & CO., INCORPORATED
NA
02/27/1984 - 03/29/1985
BUETTI, CANNON & CO., INCORPORATED
NA
08/23/1983 - 12/30/1983
KIDDER, PEABODY & CO. INCORPORATED
IA
Issued 12/08/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/07/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1983
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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