John Thomas, financial advisor Knoxville TN
93 score

John Thomas

CRD Number: 1157048
Current Firm: Ubs Financial Services Inc.

John Thomas (CRD# 1157048) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Knoxville, TN and has over 34 years of experience in the finance industry.

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Company Name Location Dates Years
Ubs Financial Services Inc. Knoxville, TN Jan 2009 - Current 8
Citigroup Global Markets Inc. Knoxville, TN Apr 1985 - Jan 2009 23
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1983
S65 NASAA Investment Advisors Law Examination Jan 2006
Contact Info for John D. Thomas
Phone Number: 201-352-3000
Registered State(s):
  • TN
  • 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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