Brett Thomas
Professional Summary
Brett Thomas, who also goes by Brett Daniel Thomas, Brett Daniel Daniel Thomas, is a registered financial advisor currently at UBS SECURITIES LLC located in New York, New York. Brett is registered as a RR (Registered Representative) and started their career in finance in 2008. Brett has worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Brett Daniel Thomas, Brett Daniel Daniel Thomas
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
18 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
BRUNSWICK UBS WARBURG | WARBURG DILLON READ LLC | UBS WARBURG LLC | UBS SECURITIES LLC | UBS SECURITIES INC. | UBS INVESTMENT BANK
Contact Information
Main Address
11 Madison Avenue, New York, NY 10010Mailing Address
1000 Harbor Boulevard, Weehawken, NJ 07086Phone Number
(201) 352-3000Established
Delaware since 06/29/1998Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | — |
| CAPANNA, DEREK EMMETT | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 2401898 |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MILLER, MAURA ANNE | CHIEF COMPLIANCE OFFICER | 4444187 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
Regulatory Event
313Civil Event
4Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(11/12/2008)
(11/12/2008)
(12/2/2008)
(11/11/2008)
(11/4/2008)
(10/29/2008)
(11/10/2008)
(11/6/2008)
(11/12/2008)
(11/17/2008)
(11/4/2008)
(11/12/2008)
(11/4/2008)
(11/12/2008)
(11/12/2008)
(11/12/2008)
(11/5/2008)
(11/5/2008)
(4/2/2009)
(11/4/2008)
(10/30/2008)
(11/12/2008)
(11/5/2008)
(11/12/2008)
(11/7/2008)
(11/5/2008)
(11/5/2008)
(11/13/2008)
(11/17/2008)
(11/4/2008)
(10/29/2008)
(11/14/2008)
(11/10/2008)
(11/10/2008)
(11/4/2008)
(10/29/2008)
(11/17/2008)
(11/6/2008)
(11/4/2008)
(10/30/2008)
(11/10/2008)
(11/5/2008)
(11/12/2008)
(9/6/2022)
(11/7/2008)
(11/4/2008)
(11/3/2008)
(11/4/2008)
(11/4/2008)
(11/12/2008)
(11/11/2008)
(11/4/2008)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
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SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Brett Thomas's CRS (Customer Relationship Summary).
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