Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Bowes is a financial advisor with UBS Financial Services Inc. and has been in the industry since 1965. Thomas is registered with the state of New York and holds multiple securities licenses including Series 1, Series 7TO, Series 63, Series PC, and the SIE Exam. Prior to joining UBS Financial Services Inc., Thomas worked at Wachovia Securities, LLC, Prudential Securities Incorporated, Bache Halsey Stuart Inc., Bache & Co Incorporated, and Bache & Co., Incorporated.
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
10/13/2006 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
07/01/2003 - 10/19/2006
WACHOVIA SECURITIES, LLC (NEW YORK NY)
NY
09/16/1977 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
08/27/1976 - 09/16/1977
BACHE HALSEY STUART INC.
NA
02/27/1976 - 08/27/1976
BACHE & CO INCORPORATED
NA
04/02/1965 - 02/27/1976
BACHE & CO., INCORPORATED
BC
Issued 02/05/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/13/1977
PC - AMEX Put and Call Exam
BC
Issued 10/09/1961
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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