William Thompson is a CFA-designated registered investment advisor, based in Keller, TX, with 21 years of industry experience.
Location
Keller, TX
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
UBS Securities LLC
March 2023 - Present · 3 yrs 2 mos
UBS Securities LLCBroker
March 2023 - Present · 3 yrs 2 mos
UBS Financial Services INC.
January 2023 - Present · 3 yrs 4 mos
UBS Financial Services INC.
January 2023 - Present · 3 yrs 4 mos
UBS Financial Services INC.Broker
January 2023 - Present · 3 yrs 4 mos
Previous Registrations
Fidelity Institutional Wealth Adviser LLC
September 2022 - January 2023 · 4 mos
Fidelity Personal and Workplace Advisors
July 2018 - August 2019 · 1 yr 1 mo
Strategic Advisers LLC
January 2018 - July 2018 · 6 mos
Fidelity Brokerage Services LLCBroker
April 2016 - January 2023 · 6 yrs 9 mos
UBS Financial Services INC.Broker
January 2008 - June 2013 · 5 yrs 5 mos
Tucker Anthony IncorporatedBroker
October 1994 - May 2000 · 5 yrs 7 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.