TC
CFP
TC
CFP

Thomas Cavada

29 Years of Experience
New York, NY
1 DisclosureBroker

Thomas Cavada is a CFP-designated registered investment advisor at UBS Financial Services INC., based in New York, NY, with 29 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
Loading...

Location

1285 Avenue of the Americas, 15 Thru 18th Floors, New York, NY, 10019

Get directions

History

Regulatory History (1)
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
April 2002
Denied
Employment History
Current Registrations
UBS Financial Services INC.
April 2014 - Present · 12 yrs 1 mo
UBS Financial Services INC.
November 2008 - Present · 17 yrs 6 mos
UBS Financial Services INC.Broker
November 2008 - Present · 17 yrs 6 mos
Previous Registrations
Citigroup Global Markets INC.Broker
November 1996 - December 2008 · 12 yrs 1 mo
State Registrations29 states
AZCACOCTDCDEFLGAHIIAIDILMAMDMIMSNCNJNVNYORPAPRRISCTXVAWAWV
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.