Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Flanagan is a financial advisor with over 38 years of experience. Thomas has been registered with UBS Financial Services INC. since 1988. Thomas is a Series 3, 7, 63 and 65 licensed advisor. Thomas is also a member of the board of directors for The Donald and Coeta Barker Foundation and Big Brother Big Sisters of the Desert.
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
CA
11/02/1994 - Present
UBS Financial Services Inc. (PALM DESERT CA)
NA
03/14/1988 - 10/26/1994
PAINEWEBBER INCORPORATED
NA
02/15/1988 - 04/19/1988
SHEARSON LEHMAN HUTTON INC.
NA
03/22/1984 - 02/15/1988
E. F. HUTTON & COMPANY INC
IA
Issued 4/19/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 3/26/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/20/1986
Series 3 - National Commodity Futures Examination
BC
Issued 3/17/1984
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
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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