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RIA / WealthAdvisordual registered (broker-dealer)34 years in industry

WILLIAM FREDERICK THOMS

Advisor at UBS FINANCIAL SERVICES INC.

Lake Forest, IL | NORTHBROOK, IL

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 13, 1998 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: Nov 22, 1991earliest registration or exam on IAPD
Years in industry: 34derivedfrom the industry start date
Years at current firm: 17derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Nov 22, 1991
First registration: Jun 13, 1998
Dual registered: yes, broker-dealer
Other names: WIL THOMS|WILLIAM FREDERICK THOMS|WILL THOMS|WILLIAM FREDERICK THOMAS|WILLIAM F THOMS
IAPD individual key: 2182266

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	Feb 13, 2009	n/a	yes	NORTHBROOK, IL\|Lake Forest, IL	Current employment
LEUCADIA ASSET MANAGEMENT LLC	Asset manager	May 23, 2005	Dec 1, 2008	no	CHICAGO, IL\|NEW YORK, NY	Previous registration
CREDIT SUISSE SECURITIES (USA) LLC	Former SEC adviser	Jan 17, 2003	Dec 13, 2004	no	CHICAGO, IL	Previous registration
PERSHING LLC	n/a	Jun 13, 1998	Jan 17, 2003	no	CHICAGO, IL	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
LEUCADIA ASSET MANAGEMENT LLC	UBS FINANCIAL SERVICES INC.	Dec 1, 2008	Feb 13, 2009	74	Firm change	Other
CREDIT SUISSE SECURITIES (USA) LLC	LEUCADIA ASSET MANAGEMENT LLC	Dec 13, 2004	May 23, 2005	161	Firm change	Other
PERSHING LLC	CREDIT SUISSE SECURITIES (USA) LLC	Jan 17, 2003	Jan 17, 2003	0	Bulk transfer	Other

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Feb 13, 2009 to presentfactForm ADV
→ LEUCADIA ASSET MANAGEMENT LLCRegistered adviserregistration: previous registration
May 23, 2005 to Dec 1, 2008factForm ADV
→ CREDIT SUISSE SECURITIES (USA) LLCRegistered adviserregistration: previous registration
Jan 17, 2003 to Dec 13, 2004factForm ADV
→ PERSHING LLCRegistered adviserregistration: previous registration
Jun 13, 1998 to Jan 17, 2003factForm ADV

Dated events

No dated event names this entity yet.