James Marc Engel

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-10-26
TX	RA	APPROVED_RES	2002-09-19

NY RA
APPROVED

Since 2021-10-26
TX RA
APPROVED_RES

Since 2002-09-19

Branch Locations

299 Park Ave 8Th, 9Th 11Th Floor, New York, NY 10171 • 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
Ubs Financial Services Inc.	New York	NY	02/1989	Present

02/1989 → Present

Ubs Financial Services Inc.

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-01-30
S63	Uniform Securities Agent State Law Examination	1989-05-26

S65 Uniform Investment Adviser Law Examination

1992-01-30
S63 Uniform Securities Agent State Law Examination

1989-05-26

Other Names

Jaime Engel

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Exams

Other Names

Other Firms

Other Investors

Other Offices

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