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Thomas W Fischer

Ubs Financial Services Inc.

Charlotte, NC

CRD 6961658

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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:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2022-08-12
  • NC RA
    APPROVED
    Since 2022-08-12

Branch Locations

6100 Fairview Road 9Th Floor, Charlotte, NC 28277 • 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
Clemson University Clemson SC 07/2015 05/2018
Unemployed Greenville SC 05/2018 12/2018
Axa Advisors, Llc New York NY 12/2018 03/2019
Wells Fargo Clearing Services, Llc Charlotte NC 06/2019 01/2022
Ubs Financial Services Inc Charlotte NC 01/2022 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-07-02
S63 Uniform Securities Agent State Law Examination 2019-01-07
  • S65 Uniform Investment Adviser Law Examination
    2022-07-02
  • S63 Uniform Securities Agent State Law Examination
    2019-01-07
Other Names
  • Thomas Fischer
  • Thomas W Fischer

View on SEC IAPD

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