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James Jones

Ubs Financial Services Inc.

Midland, TX

CRD 4310008

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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

AuthorityCategoryStatusDate
TX RA APPROVED 2004-04-16
  • TX RA
    APPROVED
    Since 2004-04-16

Branch Locations

1700 West Wall St Suite 220, Midland, TX 79701 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
1700 West Wall, Suite 220 Midland TX 05/2013 Present
  • 05/2013 → Present
    1700 West Wall, Suite 220
    Midland, TX
Previous Registrations
  • 2002-07-11 → 2004-04-19
    Investment Centers Of America, Inc.
    San Angelo, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-06-25
S63 Uniform Securities Agent State Law Examination 2001-02-09
  • S66 Uniform Combined State Law Examination
    2002-06-25
  • S63 Uniform Securities Agent State Law Examination
    2001-02-09
Other Names
  • Alan Jones
  • James Alan Jones

View on SEC IAPD

Nearby Firms

CARGILE INVESTMENT MANAGEMENT
TRINCHERA INVESTMENTS, LLC
ASHTON THOMAS PRIVATE WEALTH

Nearby Investors

CHARLES ROSS GAINES
MICKEY RAY CARGILE
KEITH WAYNE PARKER

Nearby Offices

CARGILE INVESTMENT MANAGEMENT · MIDLAND, TX
TRINCHERA INVESTMENTS, LLC · MIDLAND, TX
ASHTON THOMAS PRIVATE WEALTH · MIDLAND, TX

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