James F Palumbo

Current Employers

Employment History

• 04/2010 → Present
  Ubs Financial Services Inc.
  Vienna, VA

Previous Registrations

• 2010-01-01 → 2010-04-21
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Reston, VA
  New York, NY

Other Businesses

1)03/13/2006 / GREAT FALLS, VA 22066 / OTHER / SERVICES (BUSINESS, PROFESSIONAL, SUPPORT) / COMMERCIAL LOAN BROKER / IS THIS AN INDUSTRY SECTOR ORGANIZATION? NO / SOLE PROPRIETORSHIP / COLLECT RECIEVABLES, PAY DEBT, CLOSE OR TANSFER OWNERSHIP OF ENTITY. / WILL YOU HAVE AUTHORITY TO MAKE INVESTMENT DECISIONS ON BEHALF OF THE COMPANY? YES/ START DATE 03/13/2006. 2)11/10/1995 / GREAT FALLS, VA 22066 / OTHER / SERVICES (BUSINESS, PROFESSIONAL, SUPPORT) / COLLECTING RESIDUALS FROM (NON-RETAIL) TRANSACTIONS WITH RYAN LABS TIPS FUND MGMT. LP AND BLUEWATER FUNDING. / IS THIS AN INDUSTRY SECTOR ORGANIZATION? YES RYAN LABS IS AN APPROVED UBS FUNDS MANAGER. / OFFICER / COLLECT REMAINING RESIDUALS FROM PRIOR TRANSACTIONS, PAY OFF DEBT, CLOSE ENTITY. / WILL YOU HAVE AUTHORITY TO MAKE INVESTMENT DECISIONS ON BEHALF OF THE COMPANY? YES/ START DATE 11/10/1995. 4)The Virginia Defense Force / 5001 Waller Road Richmond,VA 23230 / No/ Non Profit / USD / No / No / / Start Date 01/07/2017 /

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-12-30
• S66 Uniform Combined State Law Examination
  2004-01-28
• S63 Uniform Securities Agent State Law Examination
  1995-09-22

Other Names

• James Fredrick Palumbo