James E. Dahl

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2003-07-08
CA	RA	APPROVED	2000-03-16

TX RA
APPROVED_RES

Since 2003-07-08
CA RA
APPROVED

Since 2000-03-16

Branch Locations

200 Spectrum Center Drive Suite 1800, Irvine, CA 92618 • United States

20 Pacifica, Irvine, CA 92618 • United States

1200 Harbor Boulevard, Weehawken, NJ 07086 • UNITED STATES

Lake Arrowhead, CA • 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
Painewebber Inc	Orange	CA	11/1999	Present

11/1999 → Present

Painewebber Inc

Orange, CA

Other Businesses

Lake Arrowhead Yacht Club / PO Box 363 Lake Arrowhead,CA 92352 / Other/ Other Yacht Club / Yacht Club / Member of Board of directors / / Organize sailing and social events / Start Date 06/28/2017/ Yacht Club / 2) NAME OF BUSINESS: CYPRESS COMMUNITY ASSOCIATION/ADDRESS: 16775 VON KARMAN AVE SUITE 100, IRVINE, CALIFORNIA/NATURE OF BUSINESS:HOME OWNERS ASSOCIATION/POSITION: Member of Board of directors/DUTIES: ADMINISTER THE ASSOCIATIONS AFFAIRS/START DATE: 3/30/2023/ HOURS DEVOTED : No 3) Sigma Alpha Epsilon Orange County Area Alumi Association, 42 Redberry, Irvine, CA 92618, President, start date-10/16/2008.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-02-17

S66 Uniform Combined State Law Examination

2000-02-17

View on SEC IAPD