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Thomas Patrick Davis

UBS Securities LLC

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About Thomas Patrick Davis

Thomas Davis is a financial advisor with over 30 years of experience in the securities industry. Thomas is currently registered with UBS Securities LLC and UBS Financial Services Inc., both based in Weehawken, New Jersey. Thomas has previously held positions at Banca IMI Securities Corp., Mabon, Nugent & Co., and Rodman & Renshaw Inc. Thomas holds the Series 63, Series 24, SIE and Series 7 licenses.

Firm Information

Thomas Davis is currently registered with UBS Securities LLC. UBS Securities LLC is a Limited Liability Company formed on June 29, 1998. The firm is registered with the SEC and in all 50 states, as well as in Puerto Rico. UBS Securities LLC has been involved in 307 regulatory events, 5 civil events, and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

507

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Thomas Davis’s Registration & Firm History

NJ

10/28/2020 - Present

UBS Securities LLC (Weehawken NJ)

NJ

06/16/2006 - 11/06/2013

UBS SECURITIES LLC (WEEHAWKEN NJ)

NJ

06/02/1993 - 06/28/2006

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

NY

04/30/1991 - 06/03/1993

BANCA IMI SECURITIES CORP. (NEW YORK NY)

NA

07/06/1989 - 04/30/1991

MABON, NUGENT & CO.

IL

02/25/1983 - 06/03/1989

RODMAN & RENSHAW INC. (CHICAGO IL)

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Licenses & Designations

BC

Issued 01/28/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/25/2002

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/19/1983

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Thomas Patrick Davis.
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