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SEAN BRETT THOMPSON
CRD#: 5006919
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 1337 TILTON ROAD
NORTHFIELD, NJ 08225
Registration History
200620082010201220142016201820202022202420262 FIRMS2005 - Present (19 years)
License(s)

State Registrations

B
Arizona 2/8/2021

B
Montana 1/4/2022

B
Arkansas 6/21/2023

B
Nevada 1/14/2011

B
California 3/2/2006

B
New Hampshire 4/6/2017

B
Colorado 2/8/2021

B
New Jersey 9/22/2005

B
Delaware 8/12/2008

IA
New Jersey 7/14/2010

B
District of Columbia 5/2/2024

B
New York 1/14/2011

B
Florida 9/22/2005

B
North Carolina 1/14/2011

IA
Florida 11/2/2021

B
Ohio 7/20/2023

B
Georgia 2/8/2021

B
Pennsylvania 1/10/2006

B
Hawaii 5/2/2024

B
Rhode Island 5/2/2024

B
Illinois 10/4/2024

B
South Carolina 6/22/2016

B
Maine 12/21/2021

IA
Texas 8/25/2008

B
Maryland 1/14/2011

B
Texas 1/14/2011

B
Massachusetts 1/17/2019

B
Vermont 12/10/2020

B
Michigan 2/13/2023

B
Virginia 2/8/2021

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1337 TILTON ROAD, NORTHFIELD, NJ 08225
Palm Beach Gardens, FL
Registered with this firm since 10/11/2005

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
1337 TILTON ROAD, NORTHFIELD, NJ 08225
Palm Beach Gardens, FL
Registered with this firm since 9/22/2005

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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.