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Thomas Mulvaney

32 Years of Experience
Reno, NV
1 DisclosureBroker

Thomas Mulvaney is a registered investment advisor at UBS Financial Services INC., based in Reno, NV, 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

History

Regulatory History (1)
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Customer Dispute
October 2001
Denied
Employment History
Current Registrations
UBS Financial Services INC.
May 2021 - Present · 5 yrs
UBS Financial Services INC.Broker
May 2021 - Present · 5 yrs
UBS Financial Services INC.
May 2021 - Present · 5 yrs
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - May 2021 · 11 yrs 7 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - May 2021 · 11 yrs 7 mos
Banc of America Investment Services, INC.Broker
July 1999 - October 2009 · 10 yrs 3 mos
Banc of America Investment Services, INC.
May 1998 - October 2009 · 11 yrs 5 mos
Ba Investment Services, INC.Broker
September 1997 - July 1999 · 1 yr 10 mos
Griffin Financial ServicesBroker
December 1996 - August 1997 · 8 mos
Brecek & Young Advisors, INC.Broker
June 1996 - September 1996 · 3 mos
Lincoln Financial Advisors CorporationBroker
October 1993 - May 1996 · 2 yrs 7 mos
The Lincoln National Life Insurance CompanyBroker
October 1993 - May 1996 · 2 yrs 7 mos
State Registrations34 states
AKALAZCACOFLGAHIIAIDILLAMAMDMIMTNCNENJNMNVNYOKORPASCTNTXUTVAVTWAWIWY
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 Mulvaney - Financial Advisor | TrueAdvisor