Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Malcolm Garity is a financial advisor with over 25 years of experience in the industry. He currently works at UBS Financial Services Inc. and has previously held roles at UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO, SAMUEL A. RAMIREZ & COMPANY, INC., and CLARK MELVIN SECURITIES CORPORATION. Thomas has held various licenses, including Series 7, Series 3, Series 63, Series 4 and SIE. His primary focus is on providing financial planning, portfolio management, and pension consulting services.
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
PR
07/12/2018 - Present
UBS Financial Services Inc. (SAN JUAN PR)
PR
08/24/2000 - 08/29/2021
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO (SAN JUAN PR)
NY
11/10/1997 - 08/21/2000
SAMUEL A. RAMIREZ & COMPANY, INC. (NEW YORK NY)
PR
04/16/1996 - 11/03/1997
CLARK MELVIN SECURITIES CORPORATION (HATO REY PR)
IA
Issued 11/04/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/02/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/16/2000
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/2018
Series 3 - National Commodity Futures Examination
BC
Issued 04/15/1996
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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