Thomas A. Baither
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Thomas Albert Baither, who also goes by Thomas A Baither, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1966. Thomas had worked at 6 firms and has passed the Series 65, Series 63, SIE, PC, Series 1, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2007 - December 26, 2018
UBS FINANCIAL SERVICES INC.
February 9, 2007 - December 26, 2018
UBS FINANCIAL SERVICES INC.
October 31, 2006 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
May 10, 2002 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
June 16, 1998 - May 24, 2002
RAYMOND JAMES & ASSOCIATES, INC.
May 11, 1998 - September 25, 1999
RONEY & CO.
December 18, 1978 - May 11, 1998
RONEY & CO. L.L.C.
August 8, 1966 - April 17, 1979
ROOSE, WADE AND COMPANY
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 2/21/1979
AMEX Put and Call ExamSeries 1
Date: 8/4/1966
Registered Representative ExaminationSeries 00
Date: 10/10/1974
General Securities Principal ExaminationCurrent Firm
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
