Compliance & Operations Principal
704-991-1209

Thomas joined UIA in 2026 and currently works alongside senior leadership to support branch office operations and assists with client service, branch support, and day to day retail brokerage activities.

His work is focused on developing a deep understanding of Uwharrie Investment Group’s processes, regulatory responsibilities and client service standards.

Thomas is a graduate of Wingate University, where he earned his Bachelor’s Degree in Finance. He holds the SIE and Series 7, 63, 65 and 24 FINRA licenses and is a Compliance and Operations Principal with Private Client Services, LLC (PCS).

Advisory products and services are offered by Investment Advisory Representatives through Uwharrie Investment Advisors, a Registered Investment Advisor and subsidiary of Uwharrie Capital Corp and an affiliate of Uwharrie Bank.

Retail brokerage and insurance products are offered by Registered Representatives through Private Client Services, LLC. FINRA and SIPC member. Private Client Services and Uwharrie Capital Corp along with its affiliates and/or subsidiaries are separate, distinct, and unaffiliated entities. It is important to note that the securities and insurance offered are: NOT BANK DEPOSITS AND NOT INSURED BY THE FDIC OR ANY FEDERAL GOVERNMENT AGENCY – NOT OBLIGATIONS OF OR GUARANTEED BY ANY FINANCIAL INSTITUTION – SUBJECT TO RISK AND MAY LOSE VALUE. Risk(s) will vary depending on investment made by the client. A Uwharrie Investment Advisor Representative will review these risk(s) with the client prior to investing.

Customer Disclosures and Client Relationship Summary (Form CRS)