Thomas Francis Cooke
Investment adviser representative at UBS Financial Services Inc.
12 yearsExperience
1 stateRegistered in
CFADesignation
$915.8BFirm assets
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeCommissionsOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
12 years in the industry.
- UBS Financial Services Inc.Sep 2021 to now
- Usi Advisors, Inc.May 2019 to Aug 2021
- Usi Consulting Group, Inc.Apr 2019 to Aug 2021
- M Holdings Securities, Inc.May 2015 to May 2019
- Chernoff DiamondOct 2014 to Apr 2019
Designations
- CFA
Exams passed
- Series 65 · Uniform Investment Adviser Law2015
- Series 63 · Uniform Securities Agent State Law2022
State registrations
Registered as an investment adviser representative in 1 state (NJ).
UBS Financial Services Inc.
$915.8BAssets managed
1,144,588Clients
9,366Advisers
55 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 6294989
- Firm CRD
- 8174