Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Sheehan is an active investment advisor representative with UBS Financial Services Inc. Thomas has been in the financial services industry for over 23 years. Thomas is a registered investment advisor representative in Alaska, Arizona, California, Colorado, Connecticut, Florida, Georgia, Hawaii, Illinois, Maryland, Massachusetts, Michigan, New Hampshire, New Jersey, New York, North Carolina, Rhode Island, Tennessee, Texas, Virginia and Wisconsin. Thomas has Series 7, Series 63, Series 65 and Series 66 licenses. Thomas holds the SIE exam. Thomas has worked for a variety of financial institutions including MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, BANC OF AMERICA INVESTMENT SERVICES, INC. and QUICK & REILLY, INC. Thomas specializes in providing financial planning services, portfolio management for businesses and individuals, pension consulting, selection of other advisors, educational seminars and publication of periodicals.
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
RI
03/13/2023 - Present
UBS Financial Services Inc. (PROVIDENCE RI)
RI
10/23/2009 - 03/10/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PROVIDENCE RI)
RI
10/20/2004 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (PROVIDENCE RI)
NY
09/24/2003 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
MA
08/02/2000 - 10/31/2000
CANTELLA & CO., INC. (MALDEN MA)
NY
04/21/1998 - 08/04/2000
QUICK & REILLY, INC. (NEW YORK NY)
CO
09/04/1997 - 01/05/1998
R A F FINANCIAL CORPORATION (DENVER CO)
BOTH
Issued 11/10/2003
Series 66 - Uniform Combined State Law Examination
IA
Issued 02/14/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/26/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/03/1997
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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