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William Thoms

34 Years of Experience
Northbrook, IL
2 DisclosuresBroker

William Thoms is a registered investment advisor at UBS Financial Services INC., based in Northbrook, IL, with 34 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Retirement Planning, and 1 more. Their firm serves 1,134,581 clients with $810B in assets under management.

Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9502 advisors
IM Fee
Planning only
Assets Under Management
$808.8B

Fee Structure

UBS Financial Services Inc. offers financial planning services for a fee, with costs ranging from $500 to $50,000, though most clients pay between $1,000 and $10,000. Fees exceeding $50,000 but not more than $100,000 may be permitted for complex situations involving relationships with a net worth of $100 million or more. The fees are negotiable and may vary based on the range of services selected, the scope of the engagement, the complexity of the services, the nature and amount of client assets involved, and the financial advisor's business model.

One-Time Plan:$500 - $50,000
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Location

5 Revere Drive, 1 Northbrook Place, Northbrook, IL, 60062

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2008
Settled
Customer Dispute
September 2008
Settled
Other Business Activities

William is the president of the Wisconsin chapter of the National Association of Stock Plan Professionals, dedicating minimal time to organizing meetings. He also referees girls' high school field hockey games for the Illinois High School Association.

Employment History
Current Registrations
UBS Financial Services INC.
February 2009 - Present · 17 yrs 5 mos
UBS Financial Services INC.
November 2008 - Present · 17 yrs 8 mos
UBS Financial Services INC.Broker
November 2008 - Present · 17 yrs 8 mos
Previous Registrations
Jefferies Investment Advisers, LLC
May 2005 - December 2008 · 3 yrs 7 mos
Jefferies & Company, INC.Broker
November 2004 - November 2008 · 4 yrs
Credit Suisse First Boston
January 2003 - December 2004 · 1 yr 11 mos
Credit Suisse First Boston LLCBroker
January 2003 - December 2004 · 1 yr 11 mos
Donaldson Lufkin & Jenrette Securities Corporation
June 1998 - January 2003 · 4 yrs 7 mos
Donaldson, Lufkin & Jenrette Securities CorporationBroker
December 1992 - January 2003 · 10 yrs 1 mo
Painewebber IncorporatedBroker
October 1991 - January 1993 · 1 yr 3 mos
State Registrations52 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTWAWIWVWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
William Thoms - Financial Advisor | TrueAdvisor