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William Thomas

Ubs Financial Services Inc.

Charlotte, NC

CRD 7099821

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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
NC RA APPROVED 2023-08-30
TX RA APPROVED 2023-08-30
  • NC RA
    APPROVED
    Since 2023-08-30
  • TX RA
    APPROVED
    Since 2023-08-30

Branch Locations

6100 Fairview Road 9Th Floor, Charlotte, NC 28211 • 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
The Vanguard Group, Inc. Charlotte NC 09/2020 01/2021
Unemployed Charlottesville VA 06/2020 08/2020
Sewanee: The University Of The South Sewanee TN 08/2016 05/2020
Linden Thomas & Company Securities, Llc Charlotte NC 01/2021 05/2022
Wells Fargo Clearing Services, Llc Charlotte NC 05/2022 08/2023
Ubs Financial Services Charlotte NC 08/2023 Present
  • 09/2020 → 01/2021
    The Vanguard Group, Inc.
    Charlotte, NC
  • 06/2020 → 08/2020
    Unemployed
    Charlottesville, VA
  • 08/2016 → 05/2020
    Sewanee: The University Of The South
    Sewanee, TN
  • 01/2021 → 05/2022
    Linden Thomas & Company Securities, Llc
    Charlotte, NC
  • 05/2022 → 08/2023
    Wells Fargo Clearing Services, Llc
    Charlotte, NC
  • 08/2023 → Present
    Ubs Financial Services
    Charlotte, NC
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-06-10
S63 Uniform Securities Agent State Law Examination 2020-10-21
  • S65 Uniform Investment Adviser Law Examination
    2022-06-10
  • S63 Uniform Securities Agent State Law Examination
    2020-10-21
Other Names
  • Will Thomas
  • William Cooke Thomas
  • William Thomas

View on SEC IAPD

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FIRST TRYON ADVISORS · CHARLOTTE, NC
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