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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 Massey is an investment advisor representative at UBS Financial Services Inc. Thomas has been working in the financial services industry since 1987. Thomas is licensed to provide investment advice in Maine, Ohio and Texas. Thomas is registered with the Financial Industry Regulatory Authority (FINRA). Thomas is a member of the Academy of Certified Portfolio Managers (ACPM). Thomas has a Series 65, Series 63, Series 9, Series 10, Series 3, Series 7 and SIE licenses. Thomas has been with UBS Financial Services Inc. since 2008. Before joining UBS Financial Services Inc., Thomas was employed by Morgan Stanley & Co. Incorporated and Morgan Stanley DW 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
ME
09/22/2008 - Present
UBS Financial Services Inc. (STEUBEN ME)
OH
04/02/2007 - 09/25/2008
MORGAN STANLEY & CO. INCORPORATED (CLEVELAND OH)
OH
09/01/1987 - 04/02/2007
MORGAN STANLEY DW INC. (CLEVELAND OH)
IA
Issued 01/30/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/27/1987
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 03/10/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/05/1990
Series 3 - National Commodity Futures Examination
BC
Issued 08/15/1987
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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