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James Bertrand

Ubs Financial Services Inc.

Birmingham, MI

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-05-20
MI RA APPROVED 2023-05-03
  • TX RA
    APPROVED_RES
    Since 2025-05-20
  • MI RA
    APPROVED
    Since 2023-05-03

Branch Locations

325 North Old Woodward Ave Suite 200, Birmingham, MI 48009 • 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
Morgan Stanley Birmingham MI 06/2016 08/2017
Morgan Stanley Birmingham MI 09/2016 08/2017
Jpmorgan Chase Bank Na Birmingham MI 09/2017 04/2023
Jpmorgan Securities Llc Birmingham MI 09/2017 04/2023
Ubs Financial Services Inc. Birmingham MI 04/2023 Present
  • 06/2016 → 08/2017
    Morgan Stanley
    Birmingham, MI
  • 09/2016 → 08/2017
    Morgan Stanley
    Birmingham, MI
  • 09/2017 → 04/2023
    Jpmorgan Chase Bank Na
    Birmingham, MI
  • 09/2017 → 04/2023
    Jpmorgan Securities Llc
    Birmingham, MI
  • 04/2023 → Present
    Ubs Financial Services Inc.
    Birmingham, MI
Previous Registrations
  • 2016-08-29 → 2017-08-29
    Morgan Stanley
    Bloomfield Hills, MI
    Birmingham, MI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-05-03
  • S66 Uniform Combined State Law Examination
    2023-05-03
Other Names
  • James Bertrand
  • James Robert Bertrand

View on SEC IAPD

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