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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 Kelley Humphreys is an investment advisor representative at UBS Financial Services Inc. Humphreys has been working in the financial industry since 1981 and has been registered with UBS Financial Services Inc. since 1996. Humphreys holds licenses for both securities and investment advising, including the Series 7, 63, 65, 9 and 10 exams, and has experience in providing various financial services, including financial planning, portfolio management for both individuals and businesses, and pension consulting. Previously, Humphreys was employed by KIDDER, PEABODY & CO. INCORPORATED and MERRILL LYNCH, PIERCE, FENNER & SMITH 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
MA
08/06/1996 - Present
UBS Financial Services Inc. (WELLESLEY MA)
NY
07/13/1983 - 01/28/1995
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
08/26/1981 - 07/01/1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 01/30/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/15/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/20/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/13/1991
Series 3 - National Commodity Futures Examination
BC
Issued 08/15/1981
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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