Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas George Austin is a financial advisor with UBS Financial Services Inc., a leading wealth management firm. With over 30 years of experience in the financial industry, Thomas has a strong track record of providing personalized financial advice and investment management services to a diverse clientele. He is registered with the state of New York and Texas and holds multiple industry licenses, including Series 7, 31, 63, and 65. Thomas has a strong understanding of the financial markets and a commitment to providing clients with tailored solutions to meet their individual needs.
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
02/19/2009 - Present
UBS Financial Services Inc. (SYRACUSE NY)
WI
03/28/1991 - 09/26/1991
INVEST FINANCIAL CORPORATION (APPLETON WI)
NY
08/16/1988 - 10/11/1989
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
06/18/1985 - 08/24/1988
DEAN WITTER REYNOLDS INC.
IA
Issued 05/14/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/20/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/09/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 06/15/1985
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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