Best Investors Account Sign in

Lori Beth Thompson

Ubs Financial Services Inc.

Beaumont, TX

Claim This Profile
Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-09-25
  • TX RA
    APPROVED
    Since 2023-09-25

Branch Locations

3450 Dowlen Road Suite A, Beaumont, TX 77706 • 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 Beaumont TX 01/2021 Present
Homemaker Kountze TX 07/2019 01/2021
Mcclelland Samuel Fehnel & Busch Llp Beaumont TX 01/2010 07/2019
  • 01/2021 → Present
    Ubs Financial Services
    Beaumont, TX
  • 07/2019 → 01/2021
    Homemaker
    Kountze, TX
  • 01/2010 → 07/2019
    Mcclelland Samuel Fehnel & Busch Llp
    Beaumont, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-09-25
  • S66 Uniform Combined State Law Examination
    2023-09-25
Other Names
  • Lori Beth Shafer
  • Lori B Shafer
  • Lori Shafer

View on SEC IAPD

Other Firms

EDWARD JONES
ROYAL FUND MANAGEMENT, LLC
BROOKSTONE WEALTH ADVISORS, LLC
STATE FARM INVESTMENT MANAGEMENT CORP.
LPL FINANCIAL LLC
CETERA INVESTMENT ADVISERS LLC
STIFEL, NICOLAUS & COMPANY, INCORPORATED
WELLS FARGO CLEARING SERVICES, LLC

Other Investors

Jason Paul Fuller
Kathryn Wellborn Fuller
HARRY EARL COUSSOU
YOLANDA LYNN SMIDS
HEATHER M MANKOPF
VIOLETTA Igorevna PROPPS
Daniel John Montalbano
Kimberly Jones

Other Offices

EDWARD JONES · BEAUMONT, TX
ROYAL FUND MANAGEMENT, LLC · Beaumont, TX
BROOKSTONE WEALTH ADVISORS, LLC · BEAUMONT, TX
STATE FARM INVESTMENT MANAGEMENT CORP. · Beaumont, TX
LPL FINANCIAL LLC · BEAUMONT, TX
EDWARD JONES · BEAUMONT, TX
EDWARD JONES · BEAUMONT, TX
STATE FARM INVESTMENT MANAGEMENT CORP. · Beaumont, TX

More in Beaumont, TX

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor