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James Dean Blalock

Ubs Financial Services Inc.

Miamisburg, OH

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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 2014-08-25
OH RA APPROVED 2009-01-26
  • TX RA
    APPROVED_RES
    Since 2014-08-25
  • OH RA
    APPROVED
    Since 2009-01-26

Branch Locations

3601 Rigby Road Suite 500, Miamisburg, OH 45342 • 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 Miamisburg OH 01/2009 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-05-23
S63 Uniform Securities Agent State Law Examination 1997-01-31
  • S65 Uniform Investment Adviser Law Examination
    1997-05-23
  • S63 Uniform Securities Agent State Law Examination
    1997-01-31
Other Names
  • James D Blalock

View on SEC IAPD

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