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James Francis Kovarik

Ubs Financial Services Inc.

Bellevue, WA

Ne Bothell, WA

CRD 3131751

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Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2006-08-12
  • WA RA
    APPROVED
    Since 2006-08-12

Branch Locations

225 108Th Avenue Ne Suite 800, Bellevue, WA 98004 • United States

Ne Bothell, WA • 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
Piper Jaffray Inc. Bellevue WA 08/1998 Present
Ubs Financial Services Inc. Bellevue WA 08/2006 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-11-02
S63 Uniform Securities Agent State Law Examination 1998-10-26
  • S65 Uniform Investment Adviser Law Examination
    1998-11-02
  • S63 Uniform Securities Agent State Law Examination
    1998-10-26
Other Names
  • Jim Kovarik
  • James F Kovarik

View on SEC IAPD

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