Thomas Unger, financial advisor Cincinnati OH
93 score

Thomas Unger

CRD Number: 5448538
Current Firm: Ubs Financial Services Inc.

Thomas Unger (CRD# 5448538) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Cincinnati, OH and has over 5 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Cincinnati, OH Feb 2010 - Current 6
Fidelity Investments Covington, KY Sep 2007 - Feb 2010 2
Mike Fink Resturant Covington, KY Jul 2007 - Sep 2007 < 1
Unemployed Lawrence, KS Aug 2001 - Jun 2007 5
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Apr 2011
Contact Info for Thomas M. Unger
Phone Number: 201-352-3000
Registered State(s):
  • OH
  • TX
By the Numbers
  • Total Assets Under Management
    358,253
    MILLIONS
  • Total Number of Accounts
    860,383
    ACCOUNTS
  • Average Account Value
    $416,388
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
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)
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops
Types of Clients
Registered States

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

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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