Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Cavanaugh is a financial advisor at UBS Financial Services Inc., located in CHARLOTTE, NC. Thomas has been working in the financial industry since 1993. He holds a Series 7 and Series 63 license, as well as Series 9, 10, and 24 licenses. Thomas has worked for several firms in the past, including MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED and MML INVESTORS SERVICES, INC.
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
NC
07/29/2024 - Present
UBS Financial Services Inc. (CHARLOTTE NC)
NC
01/05/2007 - 02/29/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLOTTE NC)
NC
08/27/2002 - 01/09/2007
MML INVESTORS SERVICES, INC. (CHARLOTTE NC)
NJ
07/25/2001 - 08/06/2002
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NY
01/12/2001 - 07/05/2001
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
03/15/2000 - 02/07/2001
PRUCO SECURITIES CORPORATION (NEWARK NJ)
MN
04/05/1993 - 12/21/1999
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
04/05/1993 - 12/21/1999
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 04/01/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/26/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/21/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/17/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/19/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/02/1993
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
Not sure Thomas Cavanaugh is the right advisor for you? Invested Better is here to help.
