Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas James Curry is a financial advisor with UBS Financial Services Inc. in NEW YORK, NY. Thomas has been in the financial services industry since 2021 and has been registered with the state of NEW YORK since 2021. Prior to joining UBS Financial Services Inc., Thomas worked at UBS SECURITIES LLC. Thomas holds several licenses and registrations including Series 63, Series 66, Series 7 and Series 79. Thomas is also a registered Investment Advisor in NEW YORK and NEW JERSEY. Thomas's areas of expertise include financial planning, investment banking, portfolio management for individuals and businesses.
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
02/26/2024 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
09/09/2022 - 04/15/2024
UBS SECURITIES LLC (NEW YORK NY)
BOTH
Issued 02/24/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/09/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/26/2024
Series 7TO - General Securities Representative Examination
BC
Issued 10/07/2021
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 09/21/2021
SIE - Securities Industry Essentials 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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