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Thomas Joseph Flanagan

Ubs Financial Services Inc.

Palm Desert, CA

Indian Wells, CA

Mccall, ID

CRD 1248955

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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
ID RA APPROVED 2019-06-12
CA RA APPROVED 1997-07-08
TX RA APPROVED_RES 1994-11-02
  • ID RA
    APPROVED
    Since 2019-06-12
  • CA RA
    APPROVED
    Since 1997-07-08
  • TX RA
    APPROVED_RES
    Since 1994-11-02

Branch Locations

74-710 Highway 111, Palm Desert, CA 92260 • United States

75 280 Highway 111, Indian Wells, CA 92210 • United States

Mccall, ID • 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. Palm Desert CA 03/1988 Present
Other Businesses

1) Big Brother Big Sisters of the Desert; Mentoring children; Role - Treasurer; Receive Compensation- No, start date-10/1/2003

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1996-04-19
S63 Uniform Securities Agent State Law Examination 1984-03-26
  • S65 Uniform Investment Adviser Law Examination
    1996-04-19
  • S63 Uniform Securities Agent State Law Examination
    1984-03-26

View on SEC IAPD

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