Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas R. Hawkins is an investment advisor representative with UBS Financial Services Inc. Thomas has been in the industry since May 28, 2004 and is registered with the state of California. Previously, Thomas was also an investment advisor representative with UBS Securities LLC. Thomas offers financial planning, pension consulting, and educational seminars to individuals and businesses. Thomas is licensed to sell securities in all 50 states and the District of Columbia.
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
NJ
06/05/2007 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
NY
01/16/2006 - 03/21/2006
UBS SECURITIES LLC (NEW YORK NY)
NJ
05/28/2004 - 01/16/2006
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
BOTH
Issued 12/11/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/28/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/18/2013
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/14/2013
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/27/2004
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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