John David Thomas

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2009-03-11
TN	RA	APPROVED	2009-01-30

TX RA
APPROVED_RES

Since 2009-03-11
TN RA
APPROVED

Since 2009-01-30

Branch Locations

Knoxville, TN • United States

800 South Gay Street Suite 2600, Knoxville, TN 37929 • 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

Organization	City	State	From	To
Ubs Financial Services Inc	Knoxville	TN	01/2009	Present

01/2009 → Present

Ubs Financial Services Inc

Knoxville, TN

Previous Registrations

2004-04-27 → 2009-02-03

Citigroup Global Markets Inc.

Knoxville, TN

Knoxville, TN

Other Businesses

1)AUTISM SOCIETY OF AMERICA EAST TN CHAPTER, KNOXVILLE, TN, DIRECTOR, 5HRS. PER MONTH. 2)COMMUNITY HEALTH ALLIANCE / P.O. BOX 2486 KNOXVILLE, TN 37901 / CO-OPERATION/ HEALTH CARE & PHARMACEUTICALS / PROVIDE AFFORDABLE HEALTH INSURANCE / MEMBER OF BOARD OF DIRECTORS / MEETINGS 6 TIMES PER YEAR / START DATE 11/12/2012 / MAYBE 2 HOURS 6 TIMES PER YEAR.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-01-27
S63	Uniform Securities Agent State Law Examination	1983-07-07

S65 Uniform Investment Adviser Law Examination

2006-01-27
S63 Uniform Securities Agent State Law Examination

1983-07-07

View on SEC IAPD