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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Margaret? Claim Your ProfileMargaret Mary Thompson is a financial advisor with over 15 years of experience in the financial services industry. She is currently registered with UBS Financial Services Inc., where she has been employed since May 2011. Prior to joining UBS, Margaret worked for Citigroup Global Markets Inc. and CitiCorp Investment Services. Margaret holds the Series 6, 7, and 63 licenses, as well as the SIE. She is also a registered representative in the state of Nevada. Margaret's career has focused on providing financial advice and investment management services to individuals, corporations, charitable organizations, and pension and profit-sharing plans.
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
NV
05/09/2011 - Present
UBS Financial Services Inc. (LAS VEGAS NV)
NV
05/29/2007 - 05/13/2009
CITIGROUP GLOBAL MARKETS INC. (LAS VEGAS NV)
NV
06/04/2004 - 05/29/2007
CITICORP INVESTMENT SERVICES (LAS VEGAS NV)
BC
Issued 08/17/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/20/2011
Series 7 - General Securities Representative Examination
BC
Issued 06/03/2004
Series 6 - Investment Company Products/Variable Contracts 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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