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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Thompson is a financial advisor with UBS Financial Services Inc. Karen has been in the financial services industry since 1983. Karen is registered with the state of Michigan and Florida and is a Registered Representative with FINRA. She also holds the Series 7, Series 63 and Series 65 licenses. Karen has experience working with a wide range of clients, including individuals, families, businesses, and institutions. Karen's expertise includes financial planning, portfolio management, and retirement planning. Karen has previously held positions at PaineWebber Incorporated, Dean Witter Reynolds Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Smith Barney, Harris Upham & Co., Incorporated, Centre/Four Securities, Inc. and Midland Doherty Inc.
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
MI
10/13/2010 - Present
UBS Financial Services Inc. (TROY MI)
NJ
03/10/1989 - 04/04/1990
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
03/08/1988 - 02/17/1989
DEAN WITTER REYNOLDS INC.
NA
03/12/1985 - 03/05/1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
08/15/1984 - 02/13/1985
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
NA
08/21/1984 - 08/24/1984
CENTRE/FOUR SECURITIES, INC.
NA
06/22/1983 - 07/30/1984
MIDLAND DOHERTY INC.
IA
Issued 08/12/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/09/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/1983
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
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