Thomas F. Healy
Professional summary
Thomas Francis Healy III, who also goes by Thomas F Healy III, Thomas Francis Healy Jr, Thomas Francis Healy, is a registered financial advisor currently at UNITED ASSET STRATEGIES INC. located in Garden City, New York.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Thomas has worked at 5 firms and has passed the SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Francis Healy III's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 27, 2021 - Present
UNITED ASSET STRATEGIES INC.
Office #1: 377 Oak Street Suite 403, Garden City, NY 11530September 19, 1997 - September 2, 2015
BESSEMER INVESTOR SERVICES, INC.
January 15, 1996 - June 25, 1997
CITIGROUP GLOBAL MARKETS INC.
July 31, 1991 - August 14, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
July 31, 1991 - August 14, 1991
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
UNITED ASSET STRATEGIES INC.
CRD#: 107434 / SEC#: 801-41464
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/27/2021)
Exams
Current Firm
UNITED ASSET STRATEGIES INC.
CRD#: 107434 / SEC#: 801-41464
Contact information
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,029 |
| AUM (Assets Under Management) | $ 1,844,600,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/13/2025 | ||
| 01/27/2025 | ||
| 09/04/2024 | ||
| 12/20/2023 | ||
| 01/23/2023 | ||
| 05/02/2022 |
Red Flags
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