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Taylor Thompson: UBS Advisor Lands $1mm Investor Complaint
Irvine financial advisor Taylor Thompson (CRD# 5951104) allegedly failed to execute an unsuitable investment strategy, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with UBS Financial Services, whose website describes him as a Senior Vice President of the Thompson Katzaroff Kottmeier Group.
Mr. Thompson’s BrokerCheck report discloses one investor complaint. Filed in June 2023, it alleges that as a UBS Financial Services representative, he unsuitably managed an investor’s portfolio. The pending complaint alleges damages of $1 million.
Mr. Thompson is a Senior Vice President, Wealth Management for UBS Financial Services’ Thompson Katzaroff Kottmeier Group, according to the firm’s website. He joined the practice in 2012, his profile states, and “enjoys working with clients to understand and align their values, investment strategies, financial goals and philanthropic visions.”
According to the Group’s page, it “provides customized financial planning and wealth management services to clients who desire a superior level of personal service.” Its approach to investing centers around “Liquidity,” “Longevity,” and “Legacy,” with the profile stating further further: “This approach is not a promise or guarantee that wealth, or any financial results, can or will be achieved. All investments involve the risk of loss, including the risk of loss of the entire investment.”
According to the Financial Industry Regulatory Authority, Taylor Thompson holds 10 years of securities industry experience. Based in Irvine, California, he has been a broker and an investment advisor with UBS Financial Services since 2012. His credentials include the passage of three securities industry qualifying exams: the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Combined State Law Examination, or Series 66. He currently holds 40 state licenses. (Information current as of July 16, 2023.)
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