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Thomas Francis Lappin

Ubs Financial Services Inc.

Raleigh, NC

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-12-06
NC RA APPROVED 2020-01-10
  • TX RA
    APPROVED
    Since 2021-12-06
  • NC RA
    APPROVED
    Since 2020-01-10

Branch Locations

3700 Glenwood Avenue Suite 300, Raleigh, NC 27612 • 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
Brown, Gibbons, Lang & Company Securities, Inc. Chicago IL 06/2018 10/2019
Brown University Providence RI 09/2017 05/2018
Madison Street Capital Chicago IL 06/2017 08/2017
Brown University Providence RI 09/2016 05/2017
Ubs Financial Services Inc. Raleigh NC 10/2019 Present
  • 06/2018 → 10/2019
    Brown, Gibbons, Lang & Company Securities, Inc.
    Chicago, IL
  • 09/2017 → 05/2018
    Brown University
    Providence, RI
  • 06/2017 → 08/2017
    Madison Street Capital
    Chicago, IL
  • 09/2016 → 05/2017
    Brown University
    Providence, RI
  • 10/2019 → Present
    Ubs Financial Services Inc.
    Raleigh, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-01-10
S63 Uniform Securities Agent State Law Examination 2018-07-06
  • S66 Uniform Combined State Law Examination
    2020-01-10
  • S63 Uniform Securities Agent State Law Examination
    2018-07-06
Other Names
  • Thomas Francis Lappin
  • Thomas Lappin
  • Tim Lappin

View on SEC IAPD

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Other Offices

TOWNSEND ASSET MANAGEMENT CORP. · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
OLDE RALEIGH FINANCIAL GROUP · RALEIGH, NC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · RALEIGH, NC
ADVISORY SERVICES NETWORK · RALEIGH, NC
FORTRESS PRIVATE LEDGER, LLC · RALEIGH, NC
WELLS FARGO CLEARING SERVICES, LLC · RALEIGH, NC
EDWARD JONES · RALEIGH, NC

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