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John Sasser Thombley

Ubs Financial Services Inc.

Atlanta, GA

CRD 3094355

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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2008-04-17
  • GA RA
    APPROVED
    Since 2008-04-17

Branch Locations

3560 Lenox Road Ne Suite 2800, Atlanta, GA 30326 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Financial Services Inc Atlanta GA 04/2008 Present
Previous Registrations
  • 2005-06-30 → 2008-04-16
    Truist Investment Services, Inc.
    Atlanta, GA
    Atlanta, GA
    Atlanta, GA
  • 2005-01-05 → 2005-06-30
    Truist Securities, Inc.
    Atlanta, GA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-05-20
  • S66 Uniform Combined State Law Examination
    2004-05-20

View on SEC IAPD

Nearby Firms

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Nearby Investors

PARIMAL H PATEL
CLAYTON SHAWN GIBSON
FRANK THOMAS WATERSON

Nearby Offices

LIQUID STRATEGIES, LLC · ATLANTA, GA
HB WEALTH · ATLANTA, GA
BISON WEALTH, LLC · ATLANTA, GA

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