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James Allen Wrenn

Ubs Financial Services Inc.

Lake Oswego, OR

Scottsdale, AZ

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2006-09-12
  • TX RA
    APPROVED_RES
    Since 2006-09-12

Branch Locations

5300 Meadows Rd Suite 300, Lake Oswego, OR 97035-3229 • United States

Scottsdale, AZ • 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
Piper Jaffray Inc. Portland OR 08/1993 Present
Ubs Financial Services Inc. Portland OR 08/2006 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-02-19
S63 Uniform Securities Agent State Law Examination 1993-10-27
  • S66 Uniform Combined State Law Examination
    2004-02-19
  • S63 Uniform Securities Agent State Law Examination
    1993-10-27

View on SEC IAPD

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