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Thomas Henry

32 Years of Experience
Miamisburg, OH
2 DisclosuresBroker

Thomas Henry is a registered investment advisor at UBS Financial Services INC., based in Miamisburg, OH, 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
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

3601 Rigby Road, Suite 500, Miamisburg, OH, 45342

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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
November 2001
Closed-No Action
Customer Dispute
October 1997
Settled
Employment History
Current Registrations
UBS Financial Services INC.
June 2025 - Present · 11 mos
UBS Financial Services INC.Broker
June 2025 - Present · 11 mos
Previous Registrations
LPL Financial LLCBroker
May 2022 - April 2025 · 2 yrs 11 mos
LPL Financial LLC
May 2022 - April 2025 · 2 yrs 11 mos
CUNA Brokerage Services, INC.
June 2020 - May 2022 · 1 yr 11 mos
CUNA Brokerage Services, INC.Broker
August 2019 - May 2022 · 2 yrs 9 mos
Cuso Financial Services, L.P.Broker
October 2014 - August 2019 · 4 yrs 10 mos
Invest Financial CorporationBroker
April 2007 - October 2014 · 7 yrs 6 mos
Pfic Securities CorporationBroker
August 2005 - April 2007 · 1 yr 8 mos
Fiserv Investor Services, INC.Broker
April 2003 - August 2005 · 2 yrs 4 mos
Money Concepts Capital CORPBroker
January 2003 - March 2003 · 2 mos
Money Concepts Capital CORPBroker
November 2000 - December 2002 · 2 yrs 1 mo
Edward JonesBroker
April 1997 - October 2000 · 3 yrs 6 mos
Pruco Securities CorporationBroker
July 1993 - April 1997 · 3 yrs 9 mos
State Registrations15 states
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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.