James Arthur Warta

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2016-02-25
TX	RA	APPROVED	2016-02-25

NJ RA
APPROVED

Since 2016-02-25
TX RA
APPROVED

Since 2016-02-25

Branch Locations

61 South Paramus Road Mack Center Iv, Paramus, NJ 07652 • 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.	Paramus	NJ	02/2016	Present

02/2016 → Present

Ubs Financial Services Inc.

Paramus, NJ

Previous Registrations

2009-06-01 → 2016-03-11

Morgan Stanley

New York, NY

Paramus, NJ

Pearl River, NY

Paramus, NJ
2008-04-10 → 2009-06-01

Morgan Stanley & Co. Llc

New York, NY

New York, NY

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2003-09-12
S63	Uniform Securities Agent State Law Examination	2002-09-09

S65 Uniform Investment Adviser Law Examination

2003-09-12
S63 Uniform Securities Agent State Law Examination

2002-09-09