James Donald Schade

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

Authority	Category	Status	Date
FL	RA	APPROVED	2023-02-13
OH	RA	APPROVED	2018-10-05
TX	RA	APPROVED	2018-10-05

FL RA
APPROVED

Since 2023-02-13
OH RA
APPROVED

Since 2018-10-05
TX RA
APPROVED

Since 2018-10-05

Branch Locations

3601 Rigby Road Suite 500, Miamisburg, OH 45342 • United States

Dayton, OH • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Dayton	OH	08/1998	10/2018
Bank Of America, N.A.	Dayton	OH	12/2009	10/2018
Ubs Financial Services Inc	Miamisburg	OH	10/2018	Present

08/1998 → 10/2018

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Dayton, OH
12/2009 → 10/2018

Bank Of America, N.A.

Dayton, OH
10/2018 → Present

Ubs Financial Services Inc

Miamisburg, OH

Previous Registrations

1999-08-13 → 2018-10-09

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Miamisburg, OH

Miamisburg, OH

Miamisburg, OH

Dayton, OH

Dayton, OH

Other Businesses

1) Five Rivers Metroparks Foundation/ investment related?: / 409 East Monument Ave. 3rd Floor, Dayton, OH, 45402, US/ Foundation/ I'll financially support the entity as a not for profit annually. I'll advise the entity on financial matters such as picking a financial advisor and monitoring the people. I will attempt to drive community support to the mission./ Member of Board of directors/start date: 7/1/2021/ time reqd during working hours?: Yes /// 2) Norris Associates LLC / Investment Fund or Hedge Fund / This is a family LLC in which we have family meetings and invest collectively. / Partner / I am my family's financial advisor - this is a family LLC 3) Name of Business: Xavier University President's Advisory Council./ Address: 3800 Victory ParkwayCincinnatiOhioUnited States./ Investment Related: No./ Nature: To think with the President on key strategic issues and initiatives./ Role: Advisor or advisory group member if advice given may influence an officer/board./ Duty: think with and advise the president./ Start Date: 10/10/2023./ Time Required: Yes.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1998-12-22

S66 Uniform Combined State Law Examination

1998-12-22

Other Names

James D Schade
Jamie Schade

View on SEC IAPD