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Derek J John Thompson

Ubs Financial Services Inc.

Stamford, CT

Greenwich, CT

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-11-08
RI RA APPROVED 2021-10-26
CT RA APPROVED 2008-10-01
TX RA APPROVED 2008-09-25
  • NY RA
    APPROVED
    Since 2021-11-08
  • RI RA
    APPROVED
    Since 2021-10-26
  • CT RA
    APPROVED
    Since 2008-10-01
  • TX RA
    APPROVED
    Since 2008-09-25

Branch Locations

600 Washington Blvd 9Th Floor, Stamford, CT 06901 • United States

100 West Putnam Avenue 2Nd Floor, Greenwich, CT 06830 • 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 Stamford CT 09/2008 Present
Previous Registrations
  • 2008-02-14 → 2008-10-02
    Lehman Brothers Inc.
    New York, NY
    New York, NY
    New York, NY
  • 2001-04-14 → 2003-03-13
    J.P. Morgan Securities Inc.
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-02-05
S63 Uniform Securities Agent State Law Examination 2000-10-16
  • S65 Uniform Investment Adviser Law Examination
    2001-02-05
  • S63 Uniform Securities Agent State Law Examination
    2000-10-16
Other Names
  • Derek John Thompson

View on SEC IAPD

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COUNTERPOINTE INVESTMENT MANAGEMENT LLC · STAMFORD, CT
K2/D&S MANAGEMENT CO., L.L.C. · STAMFORD, CT
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DWM ASSET MANAGEMENT, LLC · STAMFORD, CT
O'SHAUGHNESSY ASSET MANAGEMENT, LLC · STAMFORD, CT
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INTEGRA GLOBAL ADVISORS LLC · Stamford, CT
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