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Thomas J Mullooly

Ubs Financial Services Inc.

Purchase, NY

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2026-06-12
NY RA APPROVED 2026-06-12
TX RA APPROVED 2026-06-12
  • MO RA
    APPROVED
    Since 2026-06-12
  • NY RA
    APPROVED
    Since 2026-06-12
  • TX RA
    APPROVED
    Since 2026-06-12

Branch Locations

3 Manhattanville Road Suite 210, Purchase, NY 10577 • 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
Credit Suisse Securities (Usa) Llc New York NY 11/2009 06/2018
Edward Jones St.LOuis MO 06/2018 06/2026
Ubs Financial Services Inc. Purchase NY 06/2026 Present
Previous Registrations
  • 2018-09-14 → 2026-06-15
    Edward Jones
    Rye, NY
    St Louis, MO
    Rye Brook, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-09-13
S63 Uniform Securities Agent State Law Examination 2004-04-20
  • S66 Uniform Combined State Law Examination
    2018-09-13
  • S63 Uniform Securities Agent State Law Examination
    2004-04-20
Designations
Other Names
  • Thomas J Mullolly
  • Thomas Joseph Mullooly

View on SEC IAPD

Other Firms

GREENHAVEN ASSOCIATES INC
UBS FINANCIAL SERVICES INC.
NOW ASSET MANAGEMENT LLC
OTR GLOBAL LLC
JANNEY MONTGOMERY SCOTT LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
GREYWOLF CAPITAL MANAGEMENT LP
OLSTEIN CAPITAL MANAGEMENT, L.P.

Other Investors

JOSHUA BERNARD SANDBULTE
ERIC ALAN BICKLER
RYAN VINCENT HETZER
SIOBHAN BRADY
Anthony Joseph DiPerri
Michael Patrick Zazuri
DYLAN William WYNNE
ROB ANTONY SABEL

Other Offices

GREENHAVEN ASSOCIATES INC · PURCHASE, NY
UBS FINANCIAL SERVICES INC. · Purchase, NY
NOW ASSET MANAGEMENT LLC · PURCHASE, NY
OTR GLOBAL LLC · PURCHASE, NY
JANNEY MONTGOMERY SCOTT LLC · PURCHASE, NY
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PURCHASE, NY
GREYWOLF CAPITAL MANAGEMENT LP · PURCHASE, NY
OLSTEIN CAPITAL MANAGEMENT, L.P. · PURCHASE, NY

More in Purchase, NY

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