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Thomas Roulston

UBS Financial Services INC.
33 Years of Experience
Wichita, KS
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Thomas Roulston is a registered investment advisor at UBS Financial Services INC., based in Wichita, KS, with 33 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.

UBS Financial Services INC.
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
View Full SEC Brochure

Location

1635 N. Waterfront Pkwy, Suite 250, Wichita, KS, 67206

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History

Regulatory History (2)
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
June 2005
Denied
Customer Dispute
April 2002
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
UBS Financial Services INC.Broker
January 2009 - Present · 17 yrs 9 mos
UBS Financial Services INC.
January 2009 - Present · 17 yrs 9 mos
Previous Registrations
Wachovia Securities, LLCBroker
September 2005 - January 2009 · 3 yrs 4 mos
Wachovia Securities, LLC
September 2005 - January 2009 · 3 yrs 4 mos
Morgan Stanley
August 2000 - September 2005 · 5 yrs 1 mo
Morgan Stanley Dw INC.Broker
July 2000 - September 2005 · 5 yrs 2 mos
Salomon Smith Barney INC.Broker
July 1993 - August 2000 · 7 yrs 1 mo
Lehman Brothers INC.Broker
October 1992 - July 1993 · 9 mos
State Registrations32 states
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AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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