Thomas Francis Cooke

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2015 → 05/2019
  M Holdings Securities, Inc.
  Portland, OR
• 10/2014 → 04/2019
  Chernoff Diamond
  Uniondale, NY
• 05/2019 → 08/2021
  Usi Advisors, Inc.
  Glastonbury, CT
• 04/2019 → 08/2021
  Usi Consulting Group, Inc.
  Glastonbury, CT
• 09/2021 → Present
  Ubs Financial Services Inc
  Weehawken, NJ

Previous Registrations

• 2019-05-30 → 2021-09-15
  Usi Advisors
  Uniondale, NY
  Glastonbury, CT
• 2015-05-20 → 2019-05-28
  M Holdings Securities, Inc.
  Uniondale, NY

Exams

• S63 Uniform Securities Agent State Law Examination
  2022-01-24
• S65 Uniform Investment Adviser Law Examination
  2015-04-24

Designations

• Chartered Financial Analyst

Other Names

• Thomas Francis Cooke
• Thomas Francis Cooke