James Alfred Macdonald

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2018-09-17
NH	RA	APPROVED	2012-11-05
TX	RA	APPROVED_RES	2012-10-08

NC RA
APPROVED

Since 2018-09-17
NH RA
APPROVED

Since 2012-11-05
TX RA
APPROVED_RES

Since 2012-10-08

Branch Locations

11 S. Main Street Suite 300, Concord, NH 03301 • United States

Hopkinton, NH • United States

Vass, NC • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	Concord	NH	10/2012	Present

10/2012 → Present

Ubs Financial Services Inc

Concord, NH

Previous Registrations

2008-05-16 → 2012-10-18

Rbc Capital Markets, Llc

Manchester, NH

Bedford, NH

Concord, NH
2008-01-01 → 2008-05-20

Wells Fargo Clearing Services, Llc

Nashua, NH
1999-09-29 → 2008-01-01

A. G. Edwards & Sons, Inc.

Nashua, NH

Nashua, NH

St. Louis, MO

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1995-09-21
S63	Uniform Securities Agent State Law Examination	1990-08-01

S65 Uniform Investment Adviser Law Examination

1995-09-21
S63 Uniform Securities Agent State Law Examination

1990-08-01

View on SEC IAPD

Current Employers

Ubs Financial Services Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews