Thomas Doyle Lafountain

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
ME	RA	APPROVED	2006-09-22

ME RA
APPROVED

Since 2006-09-22

Branch Locations

One City Center 10Th Floor, Portland, ME 04101 • United States

Saco, ME • 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

Organization	City	State	From	To
Ubs Financial Services Inc	Portland	ME	09/2006	Present

09/2006 → Present

Ubs Financial Services Inc

Portland, ME

Previous Registrations

2004-10-20 → 2006-09-28

Banc Of America Investment Services, Inc.

Saco, ME

Portland, ME

Portland, ME
2004-09-07 → 2004-10-20

Quick & Reilly, Inc.

Biddeford, ME

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2004-08-31
S63	Uniform Securities Agent State Law Examination	1986-09-10

S65 Uniform Investment Adviser Law Examination

2004-08-31
S63 Uniform Securities Agent State Law Examination

1986-09-10

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

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