William Beatty

Current Employers

Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2011-05-11

TX RA
APPROVED_RES

Since 2011-05-11

Branch Locations

West Linn, OR • United States

760 Sw 9Th Ave Suite 2450, Portland, OR 97205 • United States

Tucson, AZ • United States

5300 Sw Meadows Road Suite 300, Lake Oswego, OR 97035 • 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	Portland	OR	01/2011	Present

01/2011 → Present

Ubs Financial Services Inc

Portland, OR

Previous Registrations

2009-06-01 → 2011-02-07

Morgan Stanley

Portland, OR

Portland, OR
2005-01-14 → 2009-06-01

Citigroup Global Markets Inc.

Portland, OR

Portland, OR
1998-05-05 → 2005-01-20

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Portland, OR

Other Businesses

1)NOT INVESTMENT RELATED PRIVATELY OWNED TO RECORD & PRODUCE JAZZ CD'S OF FATHER. PARTNER SINCE 9/97 DEVOTE 2 HRS PER MONTH NONE DURING BIX HOURS. PROVIDE ADVISE & DIRECTION FOR JIM BEATTY FATHER. 2) B &B PACIFIC LLC. / #12-11-2500 SW GRAHAM RD. JEFFERSON COUNTY,JEFFERSON COUNTY, OREGON 97734 / OTHER/ REAL ESTATE / HOLDS PROPERTY FOR LONG TERM / PARTNER / / MEMBER / START DATE 9/1/2004 3)DESTINY 25 / 1861 SW TURNER RD. WEST LINN,OREGON 97068 / REAL ESTATE / REAL ESTATE INVESTMENT/RENTAL PROPERTIES / LLC MEMBER / ADVISE MY WIFE / START DATE 4/1/2011 4)FERNBROOK VINEYARDS LLC / 1861 SW TURNER RD WEST LINN,OREGON 97068 / PARTNERSHIP/ AGRICULTURE & LIVESTOCK / GROWING WINE GRAPES WITH THE GOAL OF MAKING WINE / PARTNER / / SUPERVISE / START DATE 2/1/2015/3252 Holdings / 15200 Hallowell Rd. Madeira Park,British Columbia V0N 2H1 / Other/ HOA of recreational housing development Real Estate / HOA of recreational property development / Executive director / / Annual director meetings. 1-2 hours max per month time commitment. / Start Date 1/1/2017/42736 / 5) Christ Church Parish/ investment related?: / 1060 Chandler Rd, Lake Oswego, Oregon, 97034/ Charity/ investment oversight committee member/ Help oversee the investments of the church/ start date?: 12/1/2008/ time reqd during working hours?: yes/ 6) NAME OF BUSINESS: OHSU Foundation Gift Planning council/ADDRESS: 2020 SW 4th Ave. Suite 900,Portland,Oregon/NATURE OF BUSINESS:Raise money for the foundation of OHSU which provides medical services/POSITION: Advisor or advisory group member if advice given may influence an officer/board/DUTIES: Help with strategies to raise monies for the foundation of OHSU/START DATE: 3/15/2023

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-09-14
S63	Uniform Securities Agent State Law Examination	1991-04-11

S65 Uniform Investment Adviser Law Examination

1994-09-14
S63 Uniform Securities Agent State Law Examination

1991-04-11

Other Names

Jame Beatty
William James Beatty

View on SEC IAPD