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James Robert Dell

Ubs Financial Services Inc.

Austin, TX

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-08-20
  • TX RA
    APPROVED
    Since 2024-08-20

Branch Locations

401 W 4Th Street Suite 3100, Austin, TX 78701 • 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
Equitable Advisors, Llc New York NY 05/2021 05/2022
J. B. Good Resources Chapel Hill NC 10/2017 05/2021
Chattanooga Red Wolves Sc Chattanooga TN 03/2019 11/2019
Seaford Rangers Sc Port Noar 04/2018 10/2018
Ifk Kumla Kumla 02/2017 09/2017
Cross Ties Bbq Carrboro NC 11/2016 02/2017
Fc Cincinnati Cincinnati OH 02/2016 10/2016
Carolina Redhawks Raleigh NC 03/2015 11/2016
Morgan Stanley Austin TX 05/2022 08/2024
Ubs Financial Services Austin TX 08/2024 Present
  • 05/2021 → 05/2022
    Equitable Advisors, Llc
    New York, NY
  • 10/2017 → 05/2021
    J. B. Good Resources
    Chapel Hill, NC
  • 03/2019 → 11/2019
    Chattanooga Red Wolves Sc
    Chattanooga, TN
  • 04/2018 → 10/2018
    Seaford Rangers Sc
    Port Noar
  • 02/2017 → 09/2017
    Ifk Kumla
    Kumla
  • 11/2016 → 02/2017
    Cross Ties Bbq
    Carrboro, NC
  • 02/2016 → 10/2016
    Fc Cincinnati
    Cincinnati, OH
  • 03/2015 → 11/2016
    Carolina Redhawks
    Raleigh, NC
  • 05/2022 → 08/2024
    Morgan Stanley
    Austin, TX
  • 08/2024 → Present
    Ubs Financial Services
    Austin, TX
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-09-06
  • S66 Uniform Combined State Law Examination
    2021-09-06
Other Names
  • James Dell
  • Jamie Dell

View on SEC IAPD

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