James J King

Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
DC	RA	APPROVED	2022-10-04
AR	RA	APPROVED	2022-09-28
SC	RA	APPROVED	2022-09-28
VA	RA	APPROVED	2022-09-28
FL	RA	APPROVED	2022-09-27
MD	RA	APPROVED	2022-09-27
TX	RA	APPROVED_RES	2022-09-26

DC RA
APPROVED

Since 2022-10-04
AR RA
APPROVED

Since 2022-09-28
SC RA
APPROVED

Since 2022-09-28
VA RA
APPROVED

Since 2022-09-28
FL RA
APPROVED

Since 2022-09-27
MD RA
APPROVED

Since 2022-09-27
TX RA
APPROVED_RES

Since 2022-09-26

Branch Locations

Hilton Head, SC • United States

1700 M Street Nw 5Th Floor, Washington, DC 20036 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Washington	DC	11/1987	09/2022
Bank Of America,N.A.	Washington	DC	06/2011	09/2022
Ubs Financial Services	Washington	DC	09/2022	Present

11/1987 → 09/2022

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Washington, DC
06/2011 → 09/2022

Bank Of America,N.A.

Washington, DC
09/2022 → Present

Ubs Financial Services

Washington, DC

Previous Registrations

1994-06-04 → 2022-09-27

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Washington, DC

Washington, DC

Hilton Head, SC

Other Businesses

1) Name of Business: Peggy K Daugherty Estate./ Address: 15 forest drive hilton head South Carolina United States 29928./ Investment Related: 25%./Nature: settling estate./ Role: executor./ Duty: distribution and closing of the estate./Start Date: 11/30/2022./ Hours Devoted: N/A./ Time Required: Yes.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1991-07-11
S63	Uniform Securities Agent State Law Examination	1988-12-01

S65 Uniform Investment Adviser Law Examination

1991-07-11
S63 Uniform Securities Agent State Law Examination

1988-12-01

Other Names

Jj King
James John (Ii) King
James John King

View on SEC IAPD