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James Steven Sheridan

Ubs Financial Services Inc.

Riverside, CA

Banning, CA

Banning, CA

Upland, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2009-02-03
  • CA RA
    APPROVED
    Since 2009-02-03

Branch Locations

3390 University Avenue, Riverside, CA 92501 • United States

Banning, CA • United States

Banning, CA • United States

Upland, CA • 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 Redlands CA 01/2009 Present
Previous Registrations
  • 2007-04-02 → 2009-02-02
    Morgan Stanley & Co. Llc
    Ontario, CA
  • 1998-11-02 → 2007-04-02
    Morgan Stanley Dw Inc.
    Ontario, CA
    Ontario, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1992-10-02
  • S63 Uniform Securities Agent State Law Examination
    1992-10-02

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · RIVERSIDE, CA
CETERA INVESTMENT ADVISERS LLC · Riverside, CA
AMERIPRISE FINANCIAL SERVICES, LLC · RIVERSIDE, CA
EDWARD JONES · RIVERSIDE, CA
LPL FINANCIAL LLC · RIVERSIDE, CA
WELLS FARGO CLEARING SERVICES, LLC · RIVERSIDE, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Riverside, CA
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