Thomas Neal Mahoney

Current Employers

Employment History

• 07/2004 → Present
  Ubs Financial Services Inc.
  Century City, CA

Previous Registrations

• 2003-01-17 → 2004-08-03
  Credit Suisse Securities (Usa) Llc
  Los Angeles, CA
• 1997-07-08 → 2003-01-17
  Pershing Llc
  Los Angeles, CA

Other Businesses

1) CHARTERED ALTERNATIVE INVESTMENT ANALYST ASSOCIATION (CAIAA) / 100 UNIVERSITY DR. AMHERST, MA 01002 / TRADE OR INDUSTRY ASSOCIATION / FINANCIAL (CONSUMER & INVESTMENT SERVICES) / ADVANCING MEMBERS' EDUCATION ON ALTERNATIVE INVESTMENTS / IS THIS AN INDUSTRY SECTOR ORGANIZATION? YES IT'S A FINANCIAL INDUSTRY EDUCATIONAL ASSOCIATION. I AM WITH UBS PRIVATE WEALTH MANAGEMENT. / OTHER EXECUTIVE COMMITTE MEMBER, LOS ANGELES CHAPTER / PLANNING EDUCATIONAL EVENTS FOR PROFESSIONALS IN THE LOS ANGELES AREA / WILL YOU HAVE AUTHORITY TO MAKE INVESTMENT DECISIONS ON BEHALF OF THE COMPANY? NO/ START DATE 03/02/2011. 2)JORDAN BLUE PRODUCTIONS / 1035 FRANKLIN STL SANTA MONICA, CA 90403 / COMPANY / OTHER ENTERTAINMENT / A LOAN-OUT CORPORATION THAT DERIVES 100% OF ITS REVENUE FROM THE SERVICES OF MY WIFE, A PROFESSIONAL ACTOR / IS THIS AN INDUSTRY SECTOR ORGANIZATION? NO / OTHER NONE / NONE / WILL YOU HAVE AUTHORITY TO MAKE INVESTMENT DECISIONS ON BEHALF OF THE COMPANY? NO / START DATE 06/24/2006. 3)CFA Society Los Angeles / 520 S. Grand Ave., Suite 370 Los Angeles,CA 90071 / Association (i.e., Trade or Industry, Sport...)/ Financial (Consumer & Investment Services) / Investment professional education / Other / Member of Board of Governors / Advise on strategic direction / Start Date 09/30/2016 / 4) CFA Society Los Angeles United States / 520 S. Grand Ave., Suite 370 CA / https://www.cfala.org/ Association (e.g. Trade or Industry, Sport) / Financial (Consumer & Investment Services) / Officer / Start Date 6/13/2019 / No / No /

Exams

• S65 Uniform Investment Adviser Law Examination
  1992-10-20
• S63 Uniform Securities Agent State Law Examination
  1987-05-19