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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 Franken is a financial advisor with over 40 years of experience in the financial services industry. Thomas is currently registered with UBS Financial Services Inc. in Naples, Florida. Thomas is also a Series 7, Series 63, and Series 65 licensed advisor. Thomas has been in the industry since 1979 and previously worked for PAINE, WEBBER, JACKSON & CURTIS INCORPORATED. Thomas specializes in providing financial advice to a variety of clients including high-net-worth individuals, corporations, and charitable organizations.
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
01/31/1980 - Present
UBS Financial Services Inc. (NAPLES FL)
NA
07/27/1979 - 01/31/1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
IA
Issued 12/15/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/17/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/21/1979
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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