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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
TX RA APPROVED 1995-02-06
  • TX RA
    APPROVED
    Since 1995-02-06

Branch Locations

301 Commerce Ste 2800, Ft. Worth, TX 76102 • United States

301 Commerce, Fort Worth, TX 76102 • 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
Carla Thompson Financial Services Fort Worth TX 04/1986 Present
Ubs Financial Services Inc. Fort Worth TX 02/1995 Present
Other Businesses

University of Texas at Austin College of Fine Arts Advisory Committee / Austin United States,Texas / No/ Nominating Committee College of Fine Arts awareness / No / Other / Member of Advisory Committee, but does not influence board of a government entity / Advisory committee member / Start Date 1/1/07

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1981-04-28
  • S63 Uniform Securities Agent State Law Examination
    1981-04-28
Other Names
  • Carla Jean Kemp

View on SEC IAPD

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