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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 Garfield Green is a financial advisor registered with UBS Financial Services Inc. in New York. Thomas has been in the financial services industry since 1997, and is licensed to provide investment advice and securities brokerage services. Thomas holds a Series 7, Series 63, Series 9, and Series 10 licenses and is a registered investment advisor in New Jersey and New York. Thomas is a highly experienced financial advisor with a focus on providing advice to high net worth individuals, corporations and other businesses, charitable organizations, and pension plans.
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
NY
10/26/2021 - Present
UBS Financial Services Inc. (NEW YORK NY)
MA
01/07/1998 - 06/01/2001
BROWN & COMPANY SECURITIES CORPORATION (BOSTON MA)
NA
08/21/1997 - 10/24/1997
AIBC INVESTMENT SERVICES CORPORATION
NY
03/28/1997 - 07/18/1997
BARINGTON CAPITAL GROUP, L.P. (NEW YORK NY)
IA
Issued 08/20/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/28/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/24/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/19/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/05/1997
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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