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Larry D. Thomas

Ubs Financial Services Inc.

Palo Alto, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2010-12-07
TX RA APPROVED 2010-12-03
  • CA RA
    APPROVED
    Since 2010-12-07
  • TX RA
    APPROVED
    Since 2010-12-03

Branch Locations

305 Lytton Avenue, Palo Alto, CA 94301 • 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 Menlo Park CA 10/2010 Present
Previous Registrations
  • 2009-06-01 → 2010-12-17
    Morgan Stanley
    Palo Alto, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Palo Alto, CA
  • 1998-11-02 → 2007-04-02
    Morgan Stanley Dw Inc.
    Palo Alto, CA
    Palo Alto, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1987-10-14
  • S63 Uniform Securities Agent State Law Examination
    1987-10-14
Other Names
  • Larry Donald Thomas

View on SEC IAPD

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Other Offices

STRATEGIC ADVISERS LLC · PALO ALTO, CA
CITIGROUP GLOBAL MARKETS INC. · Palo Alto, CA
DCVC · PALO ALTO, CA
DCVC BIO · PALO ALTO, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Palo Alto, CA
WELLS FARGO CLEARING SERVICES, LLC · PALO ALTO, CA
WELLS FARGO CLEARING SERVICES, LLC · PALO ALTO, CA
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