Thomas Cavanaugh
Thomas Cavanaugh is a registered investment advisor at UBS Financial Services INC., based in Mooresville, NC, with 32 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
Firm Size
IM Fee
Assets Under Management
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.
Location
Mooresville, NC
Get directionsHistory
Regulatory History (2)
Customer Dispute
December 2012Judgment / Lien
April 1994Other Business Activities
Thomas is a partner in CCS Global d/b/a Brewburgers, a retailer and restaurant, providing high-level advisory services. He also served as treasurer for the George C. Marshall 45th Reunion Committee, a non-profit, from 2015 to 2016.
Employment History
Current Registrations
UBS Financial Services INC.Broker
UBS Financial Services INC.
UBS Financial Services INC.
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
MML Investors Services, INC.
MML Investors Services, INC.Broker
Prudential Financial Planning Services
Pruco Securities CorporationBroker
Prudential Securities IncorporatedBroker
Pruco Securities CorporationBroker
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
State Registrations36 states
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.