Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Thomas is a financial advisor with UBS Financial Services Inc. William has been in the financial services industry for more than 3 years. He is registered as a broker-dealer and an investment advisor in North Carolina and Texas. William has a Series 7, Series 63, and Series 65 license. He specializes in providing financial advice to individuals, families, and businesses. William has a strong track record of success in helping clients achieve their financial goals.
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
NC
08/30/2023 - Present
UBS Financial Services Inc. (CHARLOTTE NC)
NC
05/31/2022 - 09/12/2023
WELLS FARGO CLEARING SERVICES, LLC (CHARLOTTE NC)
NC
01/22/2021 - 05/20/2022
LINDEN THOMAS AND COMPANY SECURITIES, LLC (CHARLOTTE NC)
NC
10/13/2020 - 01/08/2021
VANGUARD MARKETING CORPORATION (CHARLOTTE NC)
IA
Issued 06/10/2022
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/21/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/13/2020
Series 7TO - General Securities Representative Examination
BC
Issued 08/08/2020
SIE - Securities Industry Essentials 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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