J R. Thompson
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
J Reed Thompson, who also goes by J Reed Thompson Mr., John Reed Thompson Mr., Reed Thompson, was a registered financial professional .
J is a previously registered financial professional and started their career in finance in 1971. J had worked at 11 firms and has passed the Series 65, Series 63, SIE, PC, Series 3, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2008 - January 23, 2018
UBS FINANCIAL SERVICES INC.
October 31, 2008 - January 23, 2018
UBS FINANCIAL SERVICES INC.
April 2, 2007 - November 4, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - November 4, 2008
MORGAN STANLEY & CO. LLC
June 5, 2000 - April 2, 2007
MORGAN STANLEY DW INC.
May 31, 2000 - April 2, 2007
MORGAN STANLEY DW INC.
August 25, 1989 - June 2, 2000
PRUDENTIAL EQUITY GROUP, LLC
June 25, 1984 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
February 28, 1984 - June 26, 1984
RAUSCHER PIERCE REFSNES, INC.
September 8, 1982 - March 2, 1984
J. DAVID SECURITIES, INC.
July 23, 1974 - September 7, 1982
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
August 2, 1972 - August 31, 1974
CITIGROUP GLOBAL MARKETS INC.
July 15, 1971 - September 8, 1972
EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED
January 25, 1971 - August 12, 1971
WALSTON & COMPANY INCORPORATED
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 2/29/1984
AMEX Put and Call ExamSeries 1
Date: 12/18/1967
Registered Representative ExaminationSeries 8
Date: 12/16/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
