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SIMON MARK THOMAS
CRD#: 3115348
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 100 SE 2ND STREET
27TH FLOOR
MIAMI, FL 33131
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2010 - Present (14 years)BUBS INTERNATIONAL INC. (CRD# 107726)2008 - 2010 (1 year)BPRUCO SECURITIES CORPORATION (CRD# 5685)1998 - 1999 (<1 year)
License(s)

State Registrations

B
Alabama 10/27/2023

IA
New Jersey 12/1/2023

B
California 10/27/2023

B
New York 10/27/2023

B
Delaware 10/27/2023

IA
New York 10/27/2023

B
Florida 5/11/2010

B
Pennsylvania 4/27/2021

IA
Florida 5/13/2010

B
South Dakota 10/30/2023

B
Maryland 10/27/2023

B
Tennessee 10/27/2023

B
Minnesota 1/13/2021

B
Washington 10/27/2023

B
New Jersey 10/27/2023

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

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
100 SE 2ND STREET 27TH FLOOR, MIAMI, FL 33131
Registered with this firm since 5/13/2010

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
100 SE 2ND STREET 27TH FLOOR, MIAMI, FL 33131
Registered with this firm since 1/1/2010

Previous Registration(s)
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B
08/07/2008 - 01/01/2010 UBS INTERNATIONAL INC. (CRD#:107726) NEW YORK, NY
B
09/02/1998 - 02/03/1999 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
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B
Broker
IA
Investment Adviser
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.