Best Investors Account Sign in

James P. Shafer

Ubs Financial Services Inc.

Minnetonka, MN

St Paul, MN

Wayzata, MN

Claim This Profile
Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2021-11-01
FL RA APPROVED 2021-10-29
MN RA APPROVED 2013-12-09
TX RA APPROVED 2006-01-03
  • IA RA
    APPROVED
    Since 2021-11-01
  • FL RA
    APPROVED
    Since 2021-10-29
  • MN RA
    APPROVED
    Since 2013-12-09
  • TX RA
    APPROVED
    Since 2006-01-03

Branch Locations

Minnetonka, MN • United States

444 Cedar St, St Paul, MN 55101-2108 • United States

681 East Lake Street Suite 354, Wayzata, MN 55391 • 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
Ubs Financial Services Inc Minneapolis MN 04/2005 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-07-22
  • S66 Uniform Combined State Law Examination
    2005-07-22
Other Names
  • James Shafer
  • James Paul Shafer

View on SEC IAPD

More in Minnetonka, MN

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor