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Thomas Jenkins

UBS Financial Services INC.
30 Years of Experience
Houston, TX
3 DisclosuresBroker
View SEC Summary
View SEC Summary

Thomas Jenkins is a registered investment advisor at UBS Financial Services INC., based in Houston, TX, with 30 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

4400 Post Oak Parkway, Suite 1700, Houston, TX, 77027

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History

Regulatory History (3)
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 2025
Pending
Customer Dispute
April 2006
Denied
Customer Dispute
December 2001
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Thomas is involved in multiple real estate ventures, including Harvey RE Investments, LLC, HS Resources LLC, and Jenkins Family Ventures, LLC. These activities involve acquiring, holding, and managing real estate for rental income or resale.

Employment History
Current Registrations
UBS Financial Services INC.
September 2010 - Present · 16 yrs 1 mo
UBS Financial Services INC.Broker
September 2010 - Present · 16 yrs 1 mo
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
May 1998 - September 2010 · 12 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1998 - September 2010 · 12 yrs 4 mos
Robert W. Baird & CO. IncorporatedBroker
July 1996 - May 1998 · 1 yr 10 mos
Northwestern Mutual Investment Services, INC.Broker
January 1996 - May 1998 · 2 yrs 4 mos
State Registrations24 states
ALAZCACOCTDEFLGAINKSLAMAMNMSNCNJNMNYOHORTNTXWAWY
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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