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Thomas Dickson

UBS Financial Services INC.
20 Years of Experience
Norfolk, VA
1 DisclosureBroker
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Thomas Dickson is a registered investment advisor at UBS Financial Services INC., based in Norfolk, VA, with 20 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

Wells Fargo Center/ 440 Monticello Avenue, Suite 2000, Norfolk, VA, 23510

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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
September 2008
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Thomas is a 50% owner of Dickson and Searing, LLC and COVA, LLC, both involved in real estate investments. He also serves on the board and finance committee of the General Douglas MacArthur Foundation and is a 50% owner of Dickson & Searing Two, LLC, which invests in racing horses.

Employment History
Current Registrations
UBS Financial Services INC.
February 2019 - Present · 7 yrs 8 mos
UBS Financial Services INC.
February 2019 - Present · 7 yrs 8 mos
UBS Financial Services INC.Broker
February 2019 - Present · 7 yrs 8 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2010 - February 2019 · 8 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2010 - February 2019 · 8 yrs 4 mos
Edward Jones
October 2006 - October 2010 · 4 yrs
Edward JonesBroker
September 2006 - October 2010 · 4 yrs 1 mo
State Registrations27 states
CACTDEFLGAIAIDILINKSKYMDMEMONCNHNJNMNYORPASCTNTXUTVAVT
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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