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Karen Thompson

Ubs Financial Services Inc.

Royal Oak, MI

Birmingham, MI

Ft. Gratiot, MI

Bradenton, FL

CRD 1063891

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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
FL RA APPROVED 2020-06-10
MI RA APPROVED 2010-10-13
  • FL RA
    APPROVED
    Since 2020-06-10
  • MI RA
    APPROVED
    Since 2010-10-13

Branch Locations

Royal Oak, MI • United States

325 North Old Woodward Ave Suite 200, Birmingham, MI 48009 • United States

Ft. Gratiot, MI • United States

Bradenton, FL • 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 Inc. Troy MI 06/2005 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-08-12
S63 Uniform Securities Agent State Law Examination 1990-07-09
  • S65 Uniform Investment Adviser Law Examination
    1999-08-12
  • S63 Uniform Securities Agent State Law Examination
    1990-07-09
Other Names
  • Karen Marie Catenacci
  • Karen Marie Thompson
  • Karen "Kt" Thompson

View on SEC IAPD

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