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James Louis Laporte

Ubs Financial Services Inc.

Walnut Creek, CA

Walnut Creek, CA

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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 1998-05-01
CA RA APPROVED 1997-07-08
  • TX RA
    APPROVED_RES
    Since 1998-05-01
  • CA RA
    APPROVED
    Since 1997-07-08

Branch Locations

1255 Treat Blvd Suite 1000, Walnut Creek, CA 94597 • United States

2185 N California Blvd Suite 400, Walnut Creek, CA 94596 • 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. Walnut Creek CA 05/1995 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-07-28
S63 Uniform Securities Agent State Law Examination 1995-07-18
  • S65 Uniform Investment Adviser Law Examination
    1995-07-28
  • S63 Uniform Securities Agent State Law Examination
    1995-07-18
Other Names
  • James L Laporte

View on SEC IAPD

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Other Offices

USCF ADVISERS · WALNUT CREEK, CA
BURTON ENRIGHT WELCH · WALNUT CREEK, CA
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · WALNUT CREEK, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WALNUT CREEK, CA
SAVANT WEALTH MANAGEMENT · Walnut Creek, CA
ONE CAPITAL MANAGEMENT, LLC · Walnut Creek, CA
ROCKEFELLER FINANCIAL LLC · Walnut Creek, CA
OSAIC WEALTH, INC. · WALNUT CREEK, CA

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