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Detailed Report
WILLIAM BLAKE THOMPSON
Blake Thompson
CRD#: 6219056
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 20 PACIFICA
IRVINE, CA 92618
Registration History
2018201920202021202220232024202520262 FIRMS2018 - Present (6 years)
Disclosure(s)
View By:
4/22/2022
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 10/18/2018
B
Nevada 10/25/2018
B
California 7/16/2018
B
New Jersey 10/18/2018
IA
California 7/16/2018
B
New Mexico 10/18/2018
B
Colorado 10/25/2018
B
New York 10/18/2018
B
Florida 10/18/2018
B
Ohio 10/25/2018
B
Idaho 10/25/2018
B
Oregon 10/18/2018
B
Illinois 10/18/2018
B
Tennessee 10/25/2018
B
Kentucky 10/25/2018
B
Texas 10/18/2018
B
Maryland 10/25/2018
B
Utah 10/25/2018
B
Massachusetts 10/18/2018
B
Virginia 10/18/2018
B
Michigan 10/25/2018
B
Washington 10/18/2018
B
Montana 10/25/2018

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)
20 PACIFICA, IRVINE, CA 92618
Aliso Viejo, CA
Registered with this firm since 7/16/2018
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
20 PACIFICA, IRVINE, CA 92618
Aliso Viejo, CA
Registered with this firm since 3/19/2018
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.