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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-07-31
VA RA APPROVED 2019-02-20
TX RA APPROVED 2019-02-15
  • NC RA
    APPROVED
    Since 2024-07-31
  • VA RA
    APPROVED
    Since 2019-02-20
  • TX RA
    APPROVED
    Since 2019-02-15

Branch Locations

Wells Fargo Center/ 440 Monticello Avenue Suite 2000, Norfolk, VA 23510 • United States

Chesapeake, VA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Norfolk VA 10/2010 Present
Bank Of America, N.A. Norfolk VA 01/2011 02/2019
Ubs Financial Services Norfolk VA 02/2019 Present
Previous Registrations
Other Businesses

1) Dickson and Searing, LLC / United States / 1013 Harwich Drive, Chesapeake, VA 23322 / Company / investment in real estate properties / Proprietor / owner / I will be a 50% owner of this company and will be involved in decisions related to the purchase or sale of real estate owned by the company as well as management of the properties / Receive Compensation?: YES / Investment in Company?: YES; 50% / Start Date 3/16/2020 /// 2) General Douglas MacArthur Foundation / United States / MacArthur Square, Norfolk, VA 23510 / Foundation / macarthurmemorial.org / Education / Provide education and research for Douglas MacArthur, Preservation of American Heritage, and recognition of achievement for young people with a path towards the military / Executive director / I serve on the board and specifically on the finance committee which is responsible for oversight of the foundation's finances / Start Date 6/10/2019 /// 3) COVA, LLC / Company / investment in real estate properties / Proprietor / owner / I will be a 50% owner of this company and will be involved in decisions related to the purchase or sale of real estate owned by the company as well as management of the properties /// 4) Dickson & Searing Two, LLC / Company / investment in racing horses / Proprietor / owner / I will be a 50% owner of this company and will be involved in decisions related to the purchase and sale of livestock owned by the company

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-10-03
  • S66 Uniform Combined State Law Examination
    2006-10-03
Other Names
  • Thomas Dickson

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