Thad Borowiak, financial advisor Buffalo NY
90 score

Thad Borowiak

CRD Number: 5942209
Current Firm: United Capital Financial Advisers

Thad Borowiak (CRD# 5942209) is an Investment Advisor Representative working at United Capital Financial Advisers in Buffalo, NY and has over 5 years of experience in the finance industry.

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Company Name Location Dates Years
Girard Securities, Inc. San Diego, CA Oct 2012 - Current 4
United Capital Financial Advisers, LLC Newport Beach, CA Oct 2012 - Current 4
Axa Advisors, LLC Williamsville, NY Jun 2012 - Sep 2012 < 1
Morgan Stanley Smith Barney Buffalo, NY Jun 2011 - May 2012 < 1
First Niagara Bank Amherst, NY Jun 2010 - Jun 2011 1
Key Bank Amherst, NY Oct 2007 - Jun 2010 2
Greater Buffalo Savings Bank Buffalo, NY Jul 2003 - Sep 2007 4
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Sep 2011
Contact Info for Thad P. Borowiak
Phone Number: 949-999-8500
Registered State(s):
  • MA
By the Numbers
  • Total Assets Under Management
    15,406
    MILLIONS
  • Total Number of Accounts
    48,598
    ACCOUNTS
  • Average Account Value
    $317,017
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
90
Clean Record
This advisor has a clean track record with regulators.

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