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RIA / WealthAdvisorChartered Financial Analystdual registered (broker-dealer)30 years in industry

WILLIAM THOMPSON

Advisor at UBS FINANCIAL SERVICES INC.

DALLAS, TX | Keller, TX

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Search this name across graphsid dfx:ria:be161662-a657-501d-6ec0-b313a6da3542

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 19, 2018 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: UBS FINANCIAL SERVICES INC.
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 7, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Chartered Financial Analyst
Exams: S63|S65|S66
First exam: Dec 7, 1995
First registration: Jan 19, 2018
Dual registered: yes, broker-dealer
Other names: WILLIAM THOMPSON|WILLIAM JOSEPH THOMPSON|Bill Thompson|WILLIAM J THOMPSON
IAPD individual key: 2538518

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
UBS FINANCIAL SERVICES INC.	Wirehouse	Jan 19, 2023	n/a	yes	Keller, TX\|DALLAS, TX	Current employment
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC	Mixed wealth	Sep 12, 2022	Jan 19, 2023	no	WESTLAKE, TX	Previous registration
FIDELITY PERSONAL AND WORKPLACE ADVISORS	Former SEC adviser	Jul 13, 2018	Aug 8, 2019	no	BOSTON, MA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Jan 19, 2018	Jul 13, 2018	no	WESTLAKE, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FIDELITY INSTITUTIONAL WEALTH ADVISER LLC	UBS FINANCIAL SERVICES INC.	Jan 19, 2023	Jan 19, 2023	0	Firm change	RIA to wirehouse
FIDELITY PERSONAL AND WORKPLACE ADVISORS	FIDELITY INSTITUTIONAL WEALTH ADVISER LLC	Aug 8, 2019	Sep 12, 2022	1,131	Firm change after gap	Ibd to RIA
STRATEGIC ADVISERS LLC	FIDELITY PERSONAL AND WORKPLACE ADVISORS	Jul 13, 2018	Jul 13, 2018	0	Bulk transfer	Ibd to new firm

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Jan 19, 2023 to presentfactForm ADV
→ FIDELITY INSTITUTIONAL WEALTH ADVISER LLCRegistered adviserregistration: previous registration
Sep 12, 2022 to Jan 19, 2023factForm ADV
→ FIDELITY PERSONAL AND WORKPLACE ADVISORSRegistered adviserregistration: previous registration
Jul 13, 2018 to Aug 8, 2019factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Jan 19, 2018 to Jul 13, 2018factForm ADV

Dated events

Occurred
Jan 19, 2023
Advisor changed firm
William Thompson left Fidelity Institutional Wealth Adviser Llc for Ubs Financial Services Inc. (registered 2023-01-19)
Form ADVobserved 6 days ago