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James D. Travis

Ubs Financial Services Inc.

Philadelphia, PA

Moorestown, NJ

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2021-10-26
TX RA APPROVED_RES 2013-02-11
PA RA APPROVED 2012-08-29
  • NJ RA
    APPROVED
    Since 2021-10-26
  • TX RA
    APPROVED_RES
    Since 2013-02-11
  • PA RA
    APPROVED
    Since 2012-08-29

Branch Locations

1735 Market Street, 44Th Floor Mellon Bank Ctr., Philadelphia, PA 19103 • United States

Moorestown, NJ • 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. Philadelphia PA 09/2011 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-08-31
S63 Uniform Securities Agent State Law Examination 1996-01-10
  • S65 Uniform Investment Adviser Law Examination
    1998-08-31
  • S63 Uniform Securities Agent State Law Examination
    1996-01-10
Designations
Other Names
  • James David Travis
  • James Jr.,James Travis Jr.
  • Jim Travis
  • James D. Travis Jr.

View on SEC IAPD

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