Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Duffy is a financial advisor with over 30 years of experience. Thomas currently works at UBS Financial Services Inc., in New York, New York. Thomas has held previous positions with several companies, including Morgan Stanley, Morgan Stanley & Co. Incorporated, Chase Investment Services Corp., Citigroup Investment Services and Citigroup Financial 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
NY
10/26/2021 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
06/01/2009 - 12/26/2017
MORGAN STANLEY (NEW YORK NY)
NJ
10/17/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (PARAMUS NJ)
NY
07/25/2006 - 08/28/2007
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
NY
06/01/1992 - 08/21/2006
CITICORP INVESTMENT SERVICES (NEW YORK NY)
NA
11/18/1986 - 06/01/1992
CITICORP FINANCIAL SERVICES,INC.
NA
04/05/1983 - 03/20/1984
COWEN & CO.
NA
03/29/1983 - 04/20/1983
BEAR, STEARNS & CO.
IA
Issued 12/15/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/08/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/02/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 06/14/1994
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/2011
Series 3 - National Commodity Futures Examination
BC
Issued 11/15/1986
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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