Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Wagner is a financial advisor who has been in the industry since 1997. He is currently registered with UBS Financial Services Inc. and has previously worked for Credit Suisse Securities (USA) LLC, Northern Trust Securities, Inc., Blue Chip Trading L.L.C., Pure Trading Inc, and Dempsey & Company. Thomas is registered as a broker-dealer in several states including Colorado, Florida, Georgia, Illinois, Indiana, Nevada, New York, South Carolina, Tennessee, Texas, Virginia, and Washington. He holds the Series 7, Series 24, Series 55, and Series 66 licenses.
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
FL
08/26/2013 - Present
UBS Financial Services Inc. (TAMPA FL)
FL
04/29/2011 - 09/20/2013
CREDIT SUISSE SECURITIES (USA) LLC (TAMPA FL)
FL
05/06/2008 - 05/02/2011
NORTHERN TRUST SECURITIES, INC. (BELLEAIR BLUFFS FL)
IL
06/29/1999 - 05/17/2002
BLUE CHIP TRADING L.L.C. (GLEN ELLYN IL)
IL
03/05/1997 - 07/07/1999
PURE TRADING INC (BURR RIDGE IL)
IL
02/10/1997 - 03/13/1997
DEMPSEY & COMPANY (CHICAGO IL)
BOTH
Issued 07/14/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/06/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/05/2008
Series 7 - General Securities Representative Examination
BC
Issued 05/03/1999
Series 55 - Limited Representative-Equity Trader Exam
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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