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Thomas Lafountain

38 Years of Experience
Portland, ME
1 DisclosureBroker

Thomas Lafountain is a registered investment advisor at UBS Financial Services INC., based in Portland, ME, with 38 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

One City Center, 10th FLOOR, Portland, ME, 04101

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History

Regulatory History (1)
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Customer Dispute
October 2013
Denied
Employment History
Current Registrations
UBS Financial Services INC.
September 2006 - Present · 19 yrs 8 mos
UBS Financial Services INC.Broker
September 2006 - Present · 19 yrs 8 mos
UBS Financial Services INC.
September 2006 - Present · 19 yrs 8 mos
Previous Registrations
Banc of America Investment Services, INC.Broker
October 2004 - September 2006 · 1 yr 11 mos
Banc of America Investment Services, INC.
October 2004 - September 2006 · 1 yr 11 mos
Quick & Reilly, INC.
September 2004 - October 2004 · 1 mo
Quick & Reilly, INC.Broker
January 2001 - October 2004 · 3 yrs 9 mos
Fleet Securities, INC.Broker
February 1998 - January 2001 · 2 yrs 11 mos
Fleet Securities INC.Broker
April 1992 - February 1998 · 5 yrs 10 mos
Advest, INC.Broker
August 1991 - April 1992 · 8 mos
American Express Financial Advisors INC.Broker
June 1991 - August 1991 · 2 mos
Ids Life Insurance CompanyBroker
June 1991 - August 1991 · 2 mos
Commonwealth Equity Services, INC.Broker
May 1989 - July 1991 · 2 yrs 2 mos
Charles Schwab & CO., INC.Broker
April 1989 - June 1989 · 2 mos
Fidelity Brokerage Services, INC.Broker
February 1987 - October 1988 · 1 yr 8 mos
First Jersey Securities, INC.Broker
August 1986 - October 1986 · 2 mos
State Registrations10 states
AZCAFLMAMDMENHNJVAVT
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.
Thomas Lafountain - Financial Advisor | TrueAdvisor