Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Holland is a financial advisor with UBS Financial Services Inc. Thomas has been in the industry since 1969. Thomas is registered in 21 states and has offices in both Westlake and Lakewood, Ohio.
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
03/22/2021 - Present
UBS Financial Services Inc. (WESTLAKE OH)
OH
07/31/1993 - 08/16/2006
CITIGROUP GLOBAL MARKETS INC. (CLEVELAND OH)
NY
09/12/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
05/09/1987 - 06/16/1988
PRESCOTT, BALL & TURBEN, INC.
NA
09/12/1978 - 05/02/1987
PAINEWEBBER INCORPORATED
NA
11/14/1972 - 01/31/1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
NA
01/28/1971 - 11/14/1972
EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED
NA
02/25/1969 - 03/02/1971
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BC
Issued 12/07/1985
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 09/13/1977
Series 4 - Registered Options Principal Examination
BC
Issued 07/02/1976
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/15/1982
Series 3 - National Commodity Futures Examination
BC
Issued 06/22/1977
PC - AMEX Put and Call Exam
BC
Issued 02/21/1969
Series 1 - Registered 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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