Thomas Pelino is a CFA-designated registered investment advisor at UBS Financial Services INC., based in Carmel, CA, with 45 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.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
- 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.
Location
200 Clock Tower Place, Suite C-100, Carmel, CA, 93923
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Thomas's family trust owns a vacation rental property at Lake Tahoe, which has been operating since 2007. Thomas assists his wife, a real estate agent, with property maintenance.
Employment History
Current Registrations
UBS Financial Services INC.Broker
UBS Financial Services INC.
Previous Registrations
Morgan StanleyBroker
Morgan Stanley
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley
Morgan Stanley Dw INC.Broker
Wachovia Securities, LLCBroker
Wachovia Securities, LLC
Shearson Lehman Hutton INC.Broker
Prudential Securities IncorporatedBroker
E. F. Hutton & Company INCBroker
State Registrations34 states
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
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