Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Thompson is a financial advisor registered with UBS Financial Services Inc. William has over 18 years of experience in the financial services industry. William is licensed in 53 states and has held previous positions with Fidelity Brokerage Services LLC and Tucker Anthony Incorporated. William has a Series 7, Series 63, Series 65, and Series 66 licenses. William specializes in providing financial advice to high-net-worth individuals, corporations, and other businesses. William can help you with financial planning, investment management, and retirement planning.
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
NY
01/19/2023 - Present
UBS Financial Services Inc. (New York NY)
TX
04/11/2016 - 01/18/2023
FIDELITY BROKERAGE SERVICES LLC (WESTLAKE TX)
NJ
01/07/2008 - 06/24/2013
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
MA
10/13/1994 - 05/19/2000
TUCKER ANTHONY INCORPORATED (BOSTON MA)
BC
Issued 04/15/2016
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 01/16/2008
Series 66 - Uniform Combined State Law Examination
IA
Issued 12/07/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/11/2016
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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