James K Bruner

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2009-07-16
CA	RA	APPROVED	2007-10-02

TX RA
APPROVED_RES

Since 2009-07-16
CA RA
APPROVED

Since 2007-10-02

Branch Locations

75 280 Highway 111, Indian Wells, CA 92210 • 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

Organization	City	State	From	To
Ubs Financial Services Inc.	Palm Desert	CA	10/2007	Present

10/2007 → Present

Ubs Financial Services Inc.

Palm Desert, CA

Previous Registrations

2004-09-27 → 2007-06-27

Banc Of America Investment Services, Inc.

Palm Desert, CA

Palm Desert, CA

Other Businesses

1)RIVERSIDE INTERNATIONAL AUTOMOTIVE MUSEUM / 815 MARLBOROUGH AVE #200 RIVERSIDE,CA 92507 / OTHER/ MUSEUM AND EDUCATION / MEMBER OF BOARD OF DIRECTORS / START DATE 3/19/2015 / 2 HRS PER MTH

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-09-23
S63	Uniform Securities Agent State Law Examination	1998-03-18

S66 Uniform Combined State Law Examination

2004-09-23
S63 Uniform Securities Agent State Law Examination

1998-03-18

Other Names

Jim Bruner

View on SEC IAPD