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James Brice

Ubs Financial Services Inc.

Nashville, TN

Nashville, TN

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2021-12-10
  • TN RA
    APPROVED
    Since 2021-12-10

Branch Locations

3102 West End Avenue Suite 500, Nashville, TN 37203-6017 • United States

Nashville, TN • 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 Nashville TN 07/2016 Present
Bank Of America, N.A. Nashville TN 02/2017 Present
Ubs Financial Services In Nashville TN 12/2021 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-12-12
  • S66 Uniform Combined State Law Examination
    2016-12-12
Other Names
  • James Brice
  • James Easton Brice

View on SEC IAPD

Other Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
WELLS FARGO CLEARING SERVICES, LLC
OSAIC WEALTH, INC.
OCEAN PARK ASSET MANAGEMENT, LLC
U.S. BANCORP ADVISORS, LLC
TRUIST ADVISORY SERVICES, INC.
HIGHTOWER ADVISORS, LLC
SANFORD C. BERNSTEIN & CO., LLC

Other Investors

JOHN STUART PIOVARCY
Robert Michael McMahan
Thaddeus B Corbin
HEATHER BARBOUR
CRYSTAL LYNN BEASTROM
JULIE G SANDBERG
JACKSON REESE MORAN
Hugh G Anderson

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · NASHVILLE, TN
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · NASHVILLE, TN
WELLS FARGO CLEARING SERVICES, LLC · NASHVILLE, TN
WELLS FARGO CLEARING SERVICES, LLC · NASHVILLE, TN
WELLS FARGO CLEARING SERVICES, LLC · NASHVILLE, TN
OSAIC WEALTH, INC. · NASHVILLE, TN
OCEAN PARK ASSET MANAGEMENT, LLC · Nashville, TN
U.S. BANCORP ADVISORS, LLC · Nashville, TN

More in Nashville, TN

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