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Thomas Wood

Ubs Financial Services Inc.

Nantucket, MA

Sudbury, MA

Boston, MA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2001-10-15
  • TX RA
    APPROVED_RES
    Since 2001-10-15

Branch Locations

Nantucket, MA • United States

Sudbury, MA • United States

One Post Office Square, Boston, MA 02109 • 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. Boston MA 09/2001 Present
Other Businesses

1) Wood Childrens Trust/ investment related?: yes / 7878 Whirlaway Drive, Saline, MI 48176, US/ start date: 10/30/2014

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-11-17
S65 Uniform Investment Adviser Law Examination 1999-05-12
S63 Uniform Securities Agent State Law Examination 1999-04-26
  • S66 Uniform Combined State Law Examination
    2006-11-17
  • S65 Uniform Investment Adviser Law Examination
    1999-05-12
  • S63 Uniform Securities Agent State Law Examination
    1999-04-26

View on SEC IAPD

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