Thomas A. Morgan
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 Aquinas Morgan, who also goes by Thomas A Morgan, Tom Morgan, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1987. Thomas had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2010 - July 22, 2015
UBS FINANCIAL SERVICES INC.
October 4, 2010 - July 22, 2015
UBS FINANCIAL SERVICES INC.
October 23, 2009 - September 16, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - September 16, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 30, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 29, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 28, 2006 - July 28, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 1, 2000 - July 28, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 12, 1999 - November 28, 2006
MERRILL LYNCH TRUST COMPANY
March 19, 1998 - April 30, 1999
NYLIFE SECURITIES LLC
February 14, 1997 - August 20, 1997
FIDELITY BROKERAGE SERVICES LLC
December 19, 1994 - April 4, 1995
BA INVESTMENT SERVICES, INC.
September 20, 1993 - December 7, 1994
WELLS FARGO SECURITIES INC.
January 24, 1992 - September 20, 1993
MARKETING ONE SECURITIES, INC.
November 19, 1991 - February 11, 1992
AEGON USA SECURITIES INC.
July 30, 1987 - January 31, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
July 30, 1987 - January 31, 1990
MONY SECURITIES CORPORATION
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
Current 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.
