Thomas Paul Henry

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
OH	RA	APPROVED	2025-06-17

OH RA
APPROVED

Since 2025-06-17

Branch Locations

3601 Rigby Road Suite 500, Miamisburg, OH 45342 • 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
Cuso Financial Services	San Diego	CA	10/2014	08/2019
Midusa Credit Union	Middletown	OH	10/2014	08/2019
Cuna Brokerage Services, Inc.	Waverly	IA	08/2019	05/2022
Universal 1 Credit Union, Inc.	Dayton	OH	08/2019	02/2025
Lpl Financial Llc	Dayton	OH	05/2022	02/2025
Ubs Financial Services Inc.	Miamisburg	OH	05/2025	Present

10/2014 → 08/2019

Cuso Financial Services

San Diego, CA
10/2014 → 08/2019

Midusa Credit Union

Middletown, OH
08/2019 → 05/2022

Cuna Brokerage Services, Inc.

Waverly, IA
08/2019 → 02/2025

Universal 1 Credit Union, Inc.

Dayton, OH
05/2022 → 02/2025

Lpl Financial Llc

Dayton, OH
05/2025 → Present

Ubs Financial Services Inc.

Miamisburg, OH

Previous Registrations

2022-05-18 → 2025-04-17

Lpl Financial Llc

Beavercreek, OH
2020-06-17 → 2022-05-18

Cuna Brokerage Services, Inc.

Waverly, IA

Dayton, OH

Beavercreek, OH

Other Businesses

Madison Local Schools (Middletown, OH) Assistant Basketball Coach.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2020-06-16
S63	Uniform Securities Agent State Law Examination	1997-05-07

S65 Uniform Investment Adviser Law Examination

2020-06-16
S63 Uniform Securities Agent State Law Examination

1997-05-07

View on SEC IAPD