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Detailed Report
JULIA THOMPSON
JULIA GHIGLIOTTI, Julia Marie Ghigliotti
CRD#: 6592347
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 40 CONGRESS STREET
PORTSMOUTH, NH 03801
Registration History
201620172018201920202021202220232024202520262 FIRMS2016 - Present (9 years)
License(s)

State Registrations

B
California 10/11/2016
B
New York 11/3/2016
B
Colorado 10/16/2020
B
North Carolina 6/20/2024
B
Connecticut 11/3/2016
B
Pennsylvania 11/3/2016
B
Florida 6/20/2016
B
South Carolina 11/3/2016
B
Maine 5/17/2016
B
Texas 9/27/2016
IA
Maine 1/6/2023
IA
Texas 10/3/2016
B
Massachusetts 5/17/2016
B
Vermont 11/13/2023
B
New Hampshire 3/18/2016
B
Virginia 11/3/2016
IA
New Hampshire 3/18/2016
B
Washington 11/3/2016
B
New Jersey 3/18/2016

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)
40 CONGRESS STREET, PORTSMOUTH, NH 03801
Registered with this firm since 3/18/2016
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
40 CONGRESS STREET, PORTSMOUTH, NH 03801
Registered with this firm since 2/24/2016
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.