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James P. Shafer

Ubs Financial Services Inc.

Minnetonka, MN

St Paul, MN

Wayzata, MN

CRD 4957559

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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
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

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