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S Thomas

30 Years of Experience
Atlanta, GA
Broker

S Thomas is a registered investment advisor at UBS Financial Services INC., based in Atlanta, GA, with 30 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

3560 Lenox Road NE, 28th floor, Atlanta, GA, 30326

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

S is a partner in Big Bumper Company, which manufactures and sells marine bumpers, and a partner in Discount On Dining LLC. S will also be a board member for Canalview Travel for the sole purpose of selling it.

Employment History
Current Registrations
UBS Financial Services INC.
January 2014 - Present · 12 yrs 4 mos
UBS Financial Services INC.
January 2014 - Present · 12 yrs 4 mos
UBS Financial Services INC.Broker
January 2014 - Present · 12 yrs 4 mos
Previous Registrations
Morgan Stanley
June 2009 - January 2014 · 4 yrs 7 mos
Morgan StanleyBroker
June 2009 - January 2014 · 4 yrs 7 mos
Citigroup Global Markets INC.
August 2005 - June 2009 · 3 yrs 10 mos
Citigroup Global Markets INC.Broker
August 2005 - June 2009 · 3 yrs 10 mos
Morgan Stanley
June 2002 - August 2005 · 3 yrs 2 mos
Morgan Stanley Dw INC.Broker
July 1999 - August 2005 · 6 yrs 1 mo
Janney Montgomery Scott INC.Broker
September 1996 - July 1999 · 2 yrs 10 mos
Prudential Securities IncorporatedBroker
February 1996 - October 1996 · 8 mos
State Registrations45 states
AKALARAZCACOCTDCDEFLGAIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNHNJNVNYOHOKORPAPRRISCTNTXVAVTWAWIWV
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.
S Thomas - Financial Advisor | TrueAdvisor