Thomas Carl Temple

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2012-11-19
IL	RA	APPROVED	2012-10-18

TX RA
APPROVED

Since 2012-11-19
IL RA
APPROVED

Since 2012-10-18

Branch Locations

5 Revere Drive 1 Northbrook Place, Northbrook, IL 60062 • United States

Glencoe, IL • 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
Ubs Financial Services Inc.	Northbrook	IL	10/2012	Present

10/2012 → Present

Ubs Financial Services Inc.

Northbrook, IL

Previous Registrations

1998-04-12 → 2012-10-19

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Northbrook, IL

Northbrook, IL

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2004-12-01
S65	Uniform Investment Adviser Law Examination	1998-08-01

S63 Uniform Securities Agent State Law Examination

2004-12-01
S65 Uniform Investment Adviser Law Examination

1998-08-01

Other Names

Thomas C Temple
Tom Temple

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

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