Taylor Michael Thompson

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

Authority	Category	Status	Date
UT	RA	APPROVED	2025-03-21
NV	RA	APPROVED	2024-07-11
TX	RA	APPROVED	2013-02-14
CA	RA	APPROVED	2012-09-11

UT RA
APPROVED

Since 2025-03-21
NV RA
APPROVED

Since 2024-07-11
TX RA
APPROVED

Since 2013-02-14
CA RA
APPROVED

Since 2012-09-11

Branch Locations

200 Spectrum Center Drive Suite 1800, Irvine, CA 92618 • United States

San Clemente, CA • 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	Irvine	CA	07/2012	Present

07/2012 → Present

Ubs

Irvine, CA

Other Businesses

The Achievement INstitute Of Scientific Studies / 1621 Bullard Ln Santa Ana,CA 92675 / Foundation/ Education / No business activities... but providing expanded learning STEM-Focused programming for high achieving economically disadvantaged students / Member of Board of Directors / / Fundraising, strategic planning, event planning / Start Date 3/6/13 /

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-09-10

S66 Uniform Combined State Law Examination

2012-09-10

View on SEC IAPD