Thomas J. Saxton
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 Joseph Saxton, who also goes by Thomas J Saxton, Thomas Joseph Saxton, Thomas Saxton, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 8 firms and has passed the Series 63, Series 79TO, Series 72, SIE, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2020 - January 19, 2022
UBS SECURITIES LLC
July 6, 2020 - January 19, 2022
UBS FINANCIAL SERVICES INC.
December 5, 2019 - July 1, 2020
GALLATIN CAPITAL LLC
December 3, 2012 - December 26, 2017
MORGAN STANLEY
April 2, 2007 - April 4, 2019
MORGAN STANLEY & CO. LLC
June 23, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
July 25, 1987 - December 31, 1999
MORGAN STANLEY MARKET PRODUCTS INC.
July 29, 1986 - June 24, 2005
MORGAN STANLEY & CO. LLC
April 18, 1984 - January 3, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 8
Date: 4/7/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
UBS SECURITIES LLC
CRD#: 7654 / SEC#: 801-67178, 8-22651
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| DIMARCO, PATRICK M | CHIEF COMPLIANCE OFFICER | 4549136 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 308 |
| Civil Event | 4 |
| Arbitration | 3 |
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.
