Thomas Unger, financial advisor Chicago IL

Thomas Unger

CRD Number: 5448538
Current Firm: Rockefeller Capital Management

Thomas Unger (CRD# 5448538) is an Investment Advisor Representative working at Rockefeller Capital Management in Chicago, IL and has over 12 years of experience in the finance industry.

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Company Name Location Dates Years
Rockefeller Financial LLC Cincinnati, OH Sep 2021 - Current 2
Ubs Financial Services Cincinnati, OH Feb 2010 - Sep 2021 11
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Apr 2011
Contact Info for Thomas M. Unger
Phone Number: 212-549-5100
Registered State(s):
  • IL
  • OH
  • TX
By the Numbers
  • Total Assets Under Management
    34,708
    MILLIONS
  • Total Number of Accounts
    46,727
    ACCOUNTS
  • Average Account Value
    $742,780
Compensation Options
  • A percentage of assets under your management
  • 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, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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