Thomas Francis O'rourke

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
FL	RA	APPROVED	2021-11-01
NJ	RA	APPROVED	2013-04-05
TX	RA	APPROVED	2013-04-05

FL RA
APPROVED

Since 2021-11-01
NJ RA
APPROVED

Since 2013-04-05
TX RA
APPROVED

Since 2013-04-05

Branch Locations

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

Lauderdale-By-The Sea, FL • 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.	Shor Hills	NJ	04/2013	Present

04/2013 → Present

Ubs Financial Services Inc.

Shor Hills, NJ

Previous Registrations

2009-06-01 → 2013-04-25

Morgan Stanley

Short Hills, NJ
2002-05-08 → 2009-06-01

Citigroup Global Markets Inc.

Short Hills, NJ

Short Hills, NJ

Other Businesses

1) Name of Business: The Estate of Rosetta Damilano./ Address: USA./ Nature: Executor for an Estate./ Role: Executor./ Duty: Settle and distribute the Estate

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2015-12-08
S63	Uniform Securities Agent State Law Examination	1986-01-07

S65 Uniform Investment Adviser Law Examination

2015-12-08
S63 Uniform Securities Agent State Law Examination

1986-01-07

Other Names

Tom Orourke
Thomas Francis Oruorke
Thomas Francis Orourke

View on SEC IAPD