William Blake 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
CA	RA	APPROVED	2018-07-16

CA RA
APPROVED

Since 2018-07-16

Branch Locations

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

Aliso Viejo, 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
Sauers Lopez Construction	Aliso Viejo	CA	04/2017	09/2017
Nordstrom	Mission Viejo	CA	11/2015	02/2017
Ubs Financial Services	Ca	CA	11/2017	Present

04/2017 → 09/2017

Sauers Lopez Construction

Aliso Viejo, CA
11/2015 → 02/2017

Nordstrom

Mission Viejo, CA
11/2017 → Present

Ubs Financial Services

Ca, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-07-16

S66 Uniform Combined State Law Examination

2018-07-16

Other Names

Blake Thompson

View on SEC IAPD