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James Douglas Mccoll

Ubs Financial Services Inc.

Chicago, IL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2022-12-22
CA RA APPROVED 2022-09-29
FL RA APPROVED 2022-09-29
CO RA APPROVED 2022-09-28
IL RA APPROVED 2022-09-28
MI RA APPROVED 2022-09-28
TX RA APPROVED 2022-09-28
  • MD RA
    APPROVED
    Since 2022-12-22
  • CA RA
    APPROVED
    Since 2022-09-29
  • FL RA
    APPROVED
    Since 2022-09-29
  • CO RA
    APPROVED
    Since 2022-09-28
  • IL RA
    APPROVED
    Since 2022-09-28
  • MI RA
    APPROVED
    Since 2022-09-28
  • TX RA
    APPROVED
    Since 2022-09-28

Branch Locations

One North Wacker Drive Ste 3300, Chicago, IL 60606 • 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
Sanford C. Bernstein Chicago IL 05/2007 09/2022
Ubs Financial Services, Inc. Chicago IL 09/2022 Present
Previous Registrations
Other Businesses

New Trier High School - Assistant Tennis Coach; Not investment related; 10 hours on nights and weekends; March 2020

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-06-05
  • S66 Uniform Combined State Law Examination
    2007-06-05
Designations
Other Names
  • James Mccoll

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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