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Detailed Report
THOMAS DOYLE LAFOUNTAIN
CRD#: 1549521
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 ONE CITY CENTER
10th FLOOR
PORTLAND, ME 04101
Registration History
199019952000200520102015202020252 FIRMS1991 - 1991 (<1 year)2 FIRMS2004 - 2006 (1 year)2 FIRMS2006 - Present (18 years)BQUICK & REILLY, INC. (CRD# 11217)2001 - 2004 (3 years)BFLEET SECURITIES, INC. (CRD# 13071)1998 - 2001 (2 years)BFLEET SECURITIES INC. (CRD# 7147)1992 - 1998 (5 years)BADVEST, INC. (CRD# 10)1991 - 1992 (<1 year)BCOMMONWEALTH EQUITY SERVICES, INC. (CRD# 8032)1989 - 1991 (2 years)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1989 - 1989 (<1 year)BFIDELITY BROKERAGE SERVICES, INC. (CRD# 7784)1987 - 1988 (1 year)BFIRST JERSEY SECURITIES, INC. (CRD# 6621)1986 - 1986 (<1 year)IAQUICK & REILLY, INC. (CRD# 11217)2004 - 2004 (<1 year)
Disclosure(s)
View By:
10/15/2013
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 1/15/2025
B
Minnesota 6/10/2014
B
California 9/22/2006
B
New Hampshire 9/22/2006
B
District of Columbia 1/13/2010
B
New Jersey 5/5/2022
B
Florida 9/22/2006
B
North Carolina 1/3/2024
B
Maine 9/22/2006
B
Tennessee 5/2/2024
IA
Maine 9/22/2006
B
Vermont 4/1/2021
B
Massachusetts 2/1/2008
B
Virginia 11/20/2015

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE CITY CENTER 10th FLOOR, PORTLAND, ME 04101
Saco, ME
Registered with this firm since 9/22/2006
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE CITY CENTER 10th FLOOR, PORTLAND, ME 04101
Saco, ME
Registered with this firm since 9/22/2006
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/20/2004 - 09/28/2006 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) PORTLAND, ME
B
 10/20/2004 - 09/28/2006 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) PORTLAND, ME
IA
 09/07/2004 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) BIDDEFORD, ME
B
 01/02/2001 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, NY
B
 02/02/1998 - 01/02/2001 FLEET SECURITIES, INC. (CRD#:13071) DALLAS, TX
B
 04/08/1992 - 02/02/1998 FLEET SECURITIES INC. (CRD#:7147) NEW YORK, NY
B
 08/23/1991 - 04/03/1992 ADVEST, INC. (CRD#:10) HARTFORD, CT
B
 06/18/1991 - 08/06/1991 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
B
 06/18/1991 - 08/06/1991 IDS LIFE INSURANCE COMPANY (CRD#:6321) MINNEAPOLIS, MN
B
 05/30/1989 - 07/01/1991 COMMONWEALTH EQUITY SERVICES, INC. (CRD#:8032) WALTHAM, MA
B
 04/13/1989 - 06/20/1989 CHARLES SCHWAB & CO., INC. (CRD#:5393) WESTLAKE, TX
B
 02/17/1987 - 10/04/1988 FIDELITY BROKERAGE SERVICES, INC. (CRD#:7784)
B
 08/19/1986 - 10/21/1986 FIRST JERSEY SECURITIES, INC. (CRD#:6621)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.