TK
TK

Toma Kay

35 Years of Experience
Weehawken, NJ
Broker

Toma Kay is a registered investment advisor at UBS Financial Services INC., based in Weehawken, NJ, with 35 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning, and 1 more. Their firm serves 1,134,581 clients with $810B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

Fee Structure

UBS Financial Services Inc. offers financial planning services for a fee, with costs ranging from $500 to $50,000, though most clients pay between $1,000 and $10,000. Fees exceeding $50,000 but not more than $100,000 may be permitted for complex situations involving relationships with a net worth of $100 million or more. The fees are negotiable and may vary based on the range of services selected, the scope of the engagement, the complexity of the services, the nature and amount of client assets involved, and the financial advisor's business model.

One-Time Plan:$500 - $50,000
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Location

1200 Harbor Boulevard, Weehawken, NJ, 07086

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Toma owns rental real estate property in Lake Elsinore, CA, since 2022. This activity is not investment-related.

Employment History
Current Registrations
UBS Financial Services INC.Broker
November 2020 - Present · 5 yrs 6 mos
UBS Financial Services INC.
November 2020 - Present · 5 yrs 6 mos
UBS Financial Services INC.
November 2020 - Present · 5 yrs 6 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
May 2019 - November 2020 · 1 yr 6 mos
Wells Fargo Clearing Services, LLCBroker
May 2019 - November 2020 · 1 yr 6 mos
Morgan StanleyBroker
June 2009 - November 2018 · 9 yrs 5 mos
Morgan Stanley
June 2009 - November 2018 · 9 yrs 5 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
September 2000 - April 2007 · 6 yrs 7 mos
Morgan Stanley Dw INC.Broker
June 2000 - April 2007 · 6 yrs 10 mos
Dean Witter Reynolds INC.Broker
February 1990 - June 2000 · 10 yrs 4 mos
State Registrations1 state
CA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
Toma Kay - Financial Advisor | TrueAdvisor