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Lee Kent Thompson

Ubs Financial Services Inc.

New York, NY

CRD 5304671

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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
NJ RA APPROVED 2009-03-03
  • NJ RA
    APPROVED
    Since 2009-03-03

Branch Locations

11 Madison Avenue, New York, NY 10010 • 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. Weehawken NJ 03/2009 02/2019
Ubs Financial Services Inc. New York NY 03/2019 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-03-04
  • S66 Uniform Combined State Law Examination
    2008-03-04
Other Names
  • Lee Thompson

View on SEC IAPD

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