Patrick Daniel Thompson

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2023-01-03
TX	RA	APPROVED	2009-10-26
IL	RA	APPROVED	2008-04-15

FL RA
APPROVED

Since 2023-01-03
TX RA
APPROVED

Since 2009-10-26
IL RA
APPROVED

Since 2008-04-15

Branch Locations

One North Wacker Drive Ste 3300, Chicago, IL 60606 • United States

Northbrook, IL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc.	Chicago	IL	03/2008	Present

03/2008 → Present

Ubs Financial Services Inc.

Chicago, IL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-04-14

S66 Uniform Combined State Law Examination

2008-04-14

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Exams

Other Firms

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