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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
DC RA APPROVED 2022-10-11
MD RA APPROVED 2022-09-26
TX RA APPROVED 2022-09-26
  • DC RA
    APPROVED
    Since 2022-10-11
  • MD RA
    APPROVED
    Since 2022-09-26
  • TX RA
    APPROVED
    Since 2022-09-26

Branch Locations

1700 M Street Nw 5Th Floor, Washington, DC 20036 • United States

Bethesda, MD • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Washington DC 01/2004 Present
Bank Of America,Na Washington DC 11/2009 Present
Ubs Financial Services Washington DC 09/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-05-03
  • S66 Uniform Combined State Law Examination
    2004-05-03
Other Names
  • James Ball

View on SEC IAPD

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