James P Sheffield

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2004-02-17
CA	RA	APPROVED	1999-01-12

TX RA
APPROVED_RES

Since 2004-02-17
CA RA
APPROVED

Since 1999-01-12

Branch Locations

555 California St 34Th, 36Th & 46Th Floors, San Francisco, CA 94104 • United States

555 California Street Suite 3200, San Francisco, CA 94104 • United States

San Francisco, CA • 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.	San Francisco	CA	12/1998	Present

12/1998 → Present

Ubs Financial Services Inc.

San Francisco, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-11-06
S63	Uniform Securities Agent State Law Examination	1997-11-03

S65 Uniform Investment Adviser Law Examination

1997-11-06
S63 Uniform Securities Agent State Law Examination

1997-11-03

Designations

Other Names

James Paul Sheffield

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Exams

Designations

Other Names

Other Firms

Other Investors

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