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NATHAN NEAL THOMAS
CRD#: 3125572
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 ONE VALMONT PLAZA
SUITE 300
OMAHA, NE 68154
Registration History
199820002002200420062008201020122014201620182020202220242026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)1999 - Present (25 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1998 - Present (26 years)
License(s)

State Registrations

B
Alaska 11/30/2023

B
Missouri 8/18/2000

B
Arizona 8/18/2000

B
Nebraska 10/20/1998

B
Arkansas 8/17/2000

IA
Nebraska 2/24/1999

B
California 1/21/1999

B
Nevada 3/4/2015

B
Colorado 10/11/1999

B
New Jersey 9/12/2008

B
Connecticut 9/20/2019

B
New York 8/17/2000

B
District of Columbia 8/14/2012

B
North Carolina 4/29/2013

B
Florida 8/18/2000

B
Ohio 9/11/2000

B
Hawaii 10/20/2022

B
Oklahoma 9/11/2000

B
Illinois 8/17/2000

B
Oregon 1/25/2022

B
Indiana 5/3/2023

B
Pennsylvania 8/17/2000

B
Iowa 1/7/1999

B
South Dakota 1/18/2000

B
Kansas 1/11/2000

B
Tennessee 7/30/2010

B
Kentucky 1/15/2015

B
Texas 8/17/2000

B
Louisiana 2/9/2006

IA
Texas 8/17/2000

B
Maryland 12/4/2017

B
Vermont 5/13/2014

B
Massachusetts 8/17/2000

B
Virginia 8/18/2000

B
Michigan 8/17/2000

B
Washington 8/17/2000

B
Minnesota 1/12/2000

B
Wyoming 8/11/2023

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

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 VALMONT PLAZA SUITE 300, OMAHA, NE 68154
13815 FNB Parkway Suite 300, OMAHA, NE 68154-5220
Registered with this firm since 2/24/1999

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
ONE VALMONT PLAZA SUITE 300, OMAHA, NE 68154
13815 FNB Parkway Suite 300, OMAHA, NE 68154-5220
Registered with this firm since 10/20/1998

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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.