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Thomas Ware
35 Years of Experience
Sarasota, FL
1 DisclosureBroker
Thomas Ware is a registered investment advisor at UBS Financial Services INC., based in Sarasota, FL, with 35 years of industry experience. Thomas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 1,144,588 clients with $920B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9366 advisors
IM Fee
Planning only
Assets Under Management
$915.8B
Fee Structure
Investment management only (planning not offered)
- Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
One-Time Plan:$500 - $50,000
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Location
Sarasota, FL
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 1999Denied
Employment History
Current Registrations
UBS Financial Services INC.
October 2010 - Present · 16 yrs
UBS Financial Services INC.
February 1997 - Present · 29 yrs 8 mos
UBS Financial Services INC.Broker
February 1997 - Present · 29 yrs 8 mos
Previous Registrations
Primevest Financial Services, INC.Broker
April 1992 - February 1997 · 4 yrs 10 mos
Federated Securities CORP.Broker
January 1991 - June 1991 · 5 mos
Federated Securities CORP.Broker
August 1989 - September 1990 · 1 yr 1 mo
State Registrations37 states
ALARAZCACODCFLGAHIIAIDILINKSLAMAMDMIMNMOMSNCNJNVNYOHOKORPASCTNTXUTVAWAWIWY
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.
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