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Thomas Charles Purcell

Ubs Financial Services Inc.

Cincinnati, OH

Cincinnati, OH

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2023-09-27
TX RA APPROVED_RES 2004-01-22
OH RA APPROVED 1999-08-18
  • KY RA
    APPROVED
    Since 2023-09-27
  • TX RA
    APPROVED_RES
    Since 2004-01-22
  • OH RA
    APPROVED
    Since 1999-08-18

Branch Locations

312 Walnut St., Cincinnati, OH 45202 • United States

312 Walnut Street Suite 3300, Cincinnati, OH 45202 • 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
Ubs Financial Services Inc. Cincinnati OH 07/2005 Present
Ubs Financial Services Inc. Cincinnati OH 07/2005 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-01-28
S63 Uniform Securities Agent State Law Examination 1984-06-04
  • S65 Uniform Investment Adviser Law Examination
    1992-01-28
  • S63 Uniform Securities Agent State Law Examination
    1984-06-04
Other Names
  • Thomas Charles Purcell

View on SEC IAPD

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Other Offices

QUEEN CITY CAPITAL MANAGEMENT, LLC · CINCINNATI, OH
OSAIC WEALTH, INC. · CINCINNATI, OH
BAHL & GAYNOR LLC · CINCINNATI, OH
BRIXEY & MEYER CAPITAL LLC · CINCINNATI, OH
OPUS CAPITAL MANAGEMENT · CINCINNATI, OH
FORMIDABLE ASSET MANAGEMENT, LLC · CINCINNATI, OH
RC CAPITAL · CINCINNATI, OH
STIFEL, NICOLAUS & COMPANY, INCORPORATED · CINCINNATI, OH

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