James Malcolm Ugobono

Current Employers

Employment History

• 11/2010 → 04/2024
  Ubs Financial Services Inc
  Guaynabo, PR
• 11/2010 → 07/2021
  Ubs Financial Services Inc. Of Puerto Rico
  Guaynabo, PR
• 04/2024 → Present
  Raymond James Financial Services, Inc.
  Guaynabo, PR
• 04/2024 → Present
  Raymond James Financial Services Advisors, Inc.
  Guaynabo, PR

Previous Registrations

• 2020-02-03 → 2024-04-24
  Ubs Financial Services Inc.
  Guaynabo, PR
  San Juan, PR
• 2010-03-23 → 2010-12-13
  Santander Securities Llc
  San Juan, PR
  Guaynabo, PR
  Rio Piedras, PR
  Rio Piedras, PR
  Bayamon, PR
  Santurce, PR
  Puerto Nuevo, PR
  Carolina, PR

Other Businesses

(1)Name of Business: Asi Culebra LLC Address: Urb. Santa Maria 1921 Petunia Street, San Juan, PR, 00927, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 04/26/2021 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Decide where to buy a rental property\n\nBridge loan to technology companies for purchase of equipment (2)Name of Business: Empresas Ugobono LLC Address: Urb. Santa Maria 1921 Petunia Street, San Juan, PR, 00927, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: No Start Date: 06/11/2014 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: A corporation created based on Financial Planning. Is created for Estate Taxes protection (3)Name of Business: Marina's House LLC Address: Urb. Santa Maria 1921 Petunia Street, San Juan, PR, 00927, United States Activity Type: Business Owner Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 04/02/2023 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Decide want to build and what not. Rental Real Estate. (4)Name of Business: Marina's House LLC Address: Urb. Santa Maria 1921 Petunia Street, San Juan, PR, 00927, United States Activity Type: Rental Real Estate Position/Title: Owner/Proprietor Investment Related: Yes Start Date: 07/02/2023 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Deciding what to build and what not (5)Name of Business: Restaurante Puerto Argentina Address: Calle Pintor Soralla2, Calpe, Calpe, 03710, Spain Activity Type: Business Owner Position/Title: Partner Investment Related: No Start Date: 03/01/2023 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: This a Pizzeria in Calpe, Spain called Pizzeria 1948. i only look at the numbers that the accountant prepares monthly. (6)Name of Business: SJ Advisors Address: B7 Calle Tabonuco Ste 806, Guaynabo, PR, 00968-3360, United States Activity Type: Support Company - Owner Position/Title: Other Investment Related: No Start Date: 08/15/2024 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Partner. This is my DBA for my RJ Financial Services (7)Name of Business: SJ Advisors LLC Address: B7 Calle Tabonuco Ste 806, Guaynabo, PR, 00968-3360, United States Activity Type: Support Company - Owner Position/Title: Officer - President Investment Related: No Start Date: 02/22/2024 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 41+ Description of duties: Pelegrina Ugobono Wealth Management. RJFS (8)Name of Business: Smart Insurance Agency VSJ, PSC Address: B7 Calle Tabonuco Ste 806, Guaynabo, PR, 00968-3360, United States Activity Type: Non-variable Insurance Position/Title: Broker Investment Related: Yes Start Date: 04/17/2024 Hours per month devoted to this business: 0-1 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Fixed annuities

Exams

• S66 Uniform Combined State Law Examination
  2007-09-19
• S63 Uniform Securities Agent State Law Examination
  2001-03-19

Other Names

• James M Ugobono Diaz
• James Malcom Ugobono Diaz
• James Malcom Ugobono