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Thomas Joseph Duffy

Ubs Financial Services Inc.

New York, NY

New York, NY

CRD 1082004

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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:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-10-26
NJ RA APPROVED 2018-01-08
  • NY RA
    APPROVED
    Since 2021-10-26
  • NJ RA
    APPROVED
    Since 2018-01-08

Branch Locations

299 Park Ave 26Th Floor, New York, NY 10171 • United States

1285 Avenue Of The Americas 38Th Floor, New York, NY 10019 • 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
Morgan Stanley New York NY 10/2012 01/2018
Ubs Financial Services Ny NY 01/2018 Present
  • 10/2012 → 01/2018
    Morgan Stanley
    New York, NY
  • 01/2018 → Present
    Ubs Financial Services
    Ny, NY
Previous Registrations
  • 2009-06-01 → 2017-12-26
    Morgan Stanley
    Paramus, NJ
    Warren, NJ
    New York, NY
    New York, NY
    New York, NY
    New York, NY
    New York, NY
  • 2008-10-21 → 2009-06-01
    Morgan Stanley & Co. Llc
    Paramus, NJ
  • 2006-07-26 → 2007-08-28
    Chase Investment Services Corp.
    New York City, NY
    New York, NY
    New York, NY
    New York, NY
    New York, NY
    New York, NY
    New York, NY
    New York, NY
    New York, NY
    New York, NY
    New York, NY
    New York, NY
    New York, NY
    New York, NY
  • 2004-12-06 → 2006-08-21
    Citicorp Investment Services
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-12-15
S63 Uniform Securities Agent State Law Examination 1986-10-08
  • S65 Uniform Investment Adviser Law Examination
    2003-12-15
  • S63 Uniform Securities Agent State Law Examination
    1986-10-08

View on SEC IAPD

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