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Thomas Michael Schaefer

Ubs Financial Services Inc.

Atlanta, GA

Atlanta, GA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2008-09-16
TX RA APPROVED 2008-09-16
  • GA RA
    APPROVED
    Since 2008-09-16
  • TX RA
    APPROVED
    Since 2008-09-16

Branch Locations

3560 Lenox Road Ne Suite 2800, Atlanta, GA 30326 • United States

Atlanta, GA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Atlanta GA 09/2008 Present
Previous Registrations
  • 1994-02-04 → 2008-09-19
    Lehman Brothers Inc.
    Atlanta, GA
    Atlanta, GA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-01-05
S63 Uniform Securities Agent State Law Examination 1989-12-13
  • S65 Uniform Investment Adviser Law Examination
    1994-01-05
  • S63 Uniform Securities Agent State Law Examination
    1989-12-13
Other Names
  • Tom Schaefer

View on SEC IAPD

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BISON WEALTH, LLC · ATLANTA, GA
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RBC CAPITAL MARKETS, LLC · Atlanta, GA
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