Simon Mark Thomas

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2006 → Present
  Ubs Ag
  Miami, FL
• 07/2006 → Present
  Ubs International Inc.
  Miami, FL
• 01/2010 → Present
  Ubs Financial Services Inc.
  Weehawken, NJ

Other Businesses

1) Name of Business: Simon Thomas & Krista Richman./ Address: 571 Michael Dr. Sonoma California United States 95476./ Investment Related: No./ Nature: Secondary home and will also will be used to generate rental income./ Role: Proprietor / owner./ Duty: None really, will hire a property management company./ Start Date: 12/1/2023./ Time Required: N/A.

Exams

• S66 Uniform Combined State Law Examination
  2008-12-22