Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas William Ladd is a registered representative with UBS Financial Services Inc. with over 8 years of experience in the financial industry. Thomas has a broad base of knowledge, having completed the Series 66, Series 7, and SIE exams. Thomas is registered to provide securities and investment advisory services in 35 states and is also licensed in Florida, New Jersey, and New York. Thomas has experience working with individuals, high-net-worth individuals, businesses, corporations, charitable organizations, and pension and profit-sharing plans. The firm, UBS Financial Services Inc., has a long history of providing financial services and has been recognized for its commitment to client service and ethical practices.
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
NY
10/26/2021 - Present
UBS Financial Services Inc. (NEW YORK NY)
BOTH
Issued 02/12/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/12/2015
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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