Thomas Malcolm Garity

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
PR	RA	APPROVED	2018-07-12

PR RA
APPROVED

Since 2018-07-12

Branch Locations

250 Munoz Rivera Avenue, San Juan, PR 00918 • United States

St San Juan, PR • 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
Ubs Financial Services Inc.	Guaynabo	PR	08/2000	Present

08/2000 → Present

Ubs Financial Services Inc.

Guaynabo, PR

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2016-11-04
S63	Uniform Securities Agent State Law Examination	1997-09-02

S65 Uniform Investment Adviser Law Examination

2016-11-04
S63 Uniform Securities Agent State Law Examination

1997-09-02

Other Names

Thomas Malcom Garity
Thomas Malcolm Garity
Thomas Malcolm Garity Medina

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Exams

Other Names

Other Firms

Other Investors

Other Offices

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