• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
CARLA KEMP THOMPSON
CARLA JEAN KEMP
CRD#: 730526
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 301 COMMERCE
FORT WORTH, TX 76102
Registration History
1985199019952000200520102015202020252 FIRMS1995 - Present (30 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1990 - 1995 (4 years)BGREENMAN PARKER GREENMAN INCOR... (CRD# 16505)1988 - 1989 (1 year)BROTAN MOSLE INC. (CRD# 727)1981 - 1986 (4 years)
License(s)

State Registrations

B
Arizona 2/6/1995

B
Montana 2/19/2021

B
Arkansas 3/31/2021

B
Nebraska 3/22/2024

B
California 2/23/1995

B
New Jersey 10/15/2020

B
Colorado 2/6/1995

B
New Mexico 2/6/1995

B
District of Columbia 6/14/2017

B
New York 2/6/1995

B
Florida 2/27/1996

B
North Carolina 2/6/1995

B
Georgia 6/22/2016

B
Pennsylvania 12/16/2022

B
Kentucky 8/11/2020

B
Rhode Island 7/8/2021

B
Louisiana 6/18/2015

B
Texas 2/6/1995

B
Maryland 1/29/2016

IA
Texas 2/6/1995

B
Michigan 2/6/1995

B
Virginia 5/16/2023

B
Missouri 10/29/2021

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)
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
301 COMMERCE, FORT WORTH, TX 76102
301 COMMERCE, FT. WORTH, TX 76102
Registered with this firm since 2/6/1995

IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
301 COMMERCE, FORT WORTH, TX 76102
301 COMMERCE, FT. WORTH, TX 76102
Registered with this firm since 2/6/1995

Previous Registration(s)
th hidden textth hidden textNameLocation
B
06/21/1990 - 02/21/1995 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
04/21/1988 - 11/08/1989 GREENMAN PARKER GREENMAN INCORPORATED (CRD#:16505) FORT WORTH, TX
B
05/18/1981 - 04/03/1986 ROTAN MOSLE INC. (CRD#:727)
For additional information about investment advisers or broker-dealers, please visit
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.