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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Joseph Frank has been in the financial services industry since December 1987. Thomas is currently registered with UBS Financial Services Inc. as an Investment Advisor Representative. Previously, Thomas was employed with Merrill Lynch, Pierce, Fenner & Smith Incorporated in New York, NY from December 1987 to September 1994. Thomas has passed numerous securities exams, including Series 3, 7, 9, 10, 63, and 65, and holds registrations in several states. Thomas is dedicated to providing financial planning and portfolio management services to individuals, businesses, and charitable organizations.
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
OH
01/05/2004 - Present
UBS Financial Services Inc. (CINCINNATI OH)
NY
12/22/1987 - 09/02/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 09/23/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/07/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/11/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/22/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/21/2005
Series 3 - National Commodity Futures Examination
BC
Issued 12/19/1987
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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