Thomas Ashley Stacy

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2007-09-14

TX RA
APPROVED

Since 2007-09-14

Branch Locations

100 Crescent Court Suite 400, Dallas, TX 75201 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	Dallas	TX	09/2007	Present

09/2007 → Present

Ubs Financial Services Inc

Dallas, TX

Previous Registrations

2002-09-13 → 2007-09-17

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Dallas, TX

Dallas, TX

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-09-11
S63	Uniform Securities Agent State Law Examination	2002-04-24

S65 Uniform Investment Adviser Law Examination

2002-09-11
S63 Uniform Securities Agent State Law Examination

2002-04-24

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

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