Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carla? Claim Your ProfileCarla Thompson is a financial advisor who has been working in the industry since 1981. Carla has a long and varied history of employment, including positions with Rotan Mosle Inc., Greenman Parker Greenman Incorporated, Prudential Securities Incorporated, and UBS Financial Services Inc. Carla has passed the SIE, Series 5, Series 7, and Series 63 exams. Carla specializes in providing financial planning, pension consulting, and educational seminars to her clients. Carla currently works for UBS Financial Services Inc., which has more than $50 billion in assets under management.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
TX
02/06/1995 - Present
UBS Financial Services Inc. (FT. WORTH TX)
NY
06/21/1990 - 02/21/1995
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
TX
04/21/1988 - 11/08/1989
GREENMAN PARKER GREENMAN INCORPORATED (FORT WORTH TX)
NA
05/18/1981 - 04/03/1986
ROTAN MOSLE INC.
BC
Issued 04/28/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/06/1981
Series 5 - Interest Rate Options Examination
BC
Issued 05/16/1981
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Carla Thompson is the right advisor for you? Invested Better is here to help.
