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Tykem Thompson

Ubs Financial Services Inc.

Boca Raton, FL

CRD 7617180

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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 2023-05-18
NJ RA APPROVED 2023-03-24
  • FL RA
    APPROVED
    Since 2023-05-18
  • NJ RA
    APPROVED
    Since 2023-03-24

Branch Locations

1800 North Military Trail Suite 300, Boca Raton, FL 33431 • 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 Boca Raton FL 10/2022 Present
Florida Office Of Insurance Regulation Tallahassee FL 07/2021 08/2022
Florida State University Tallahassee FL 08/2017 05/2021
Coral Glades High School Coral Springs FL 08/2013 05/2021
  • 10/2022 → Present
    Ubs Financial Services Inc
    Boca Raton, FL
  • 07/2021 → 08/2022
    Florida Office Of Insurance Regulation
    Tallahassee, FL
  • 08/2017 → 05/2021
    Florida State University
    Tallahassee, FL
  • 08/2013 → 05/2021
    Coral Glades High School
    Coral Springs, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-03-23
  • S66 Uniform Combined State Law Examination
    2023-03-23

View on SEC IAPD

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