James Patrick Willers

Current Employers

Employment History

• 11/2013 → 01/2025
  Ubs Financial Services Inc.
  Sioux Falls, SD
• 01/2025 → Present
  Newedge Securities Llc
  Pittsburgh, PA
• 01/2025 → Present
  Newedge Advisors
  New Orleans, LA

Previous Registrations

• 2013-11-14 → 2025-02-11
  Ubs Financial Services Inc.
  Sioux Falls, SD
• 2011-06-06 → 2013-11-13
  Equitable Advisors, Llc
  Sioux Falls, SD

Other Businesses

1. First Lutheran Church / 327 South Dakota Ave Sioux Falls, SD 57104 / No/ Non Profit / USD / No / No / / Start Date 6/3/13. 2. Mr. Willers is a registered representative with NewEdge Securities, LLC ("NES"). Member FINRA/SIPC. In such capacity, he may sell securities through NES and receive normal and customary commissions as a result of such purchases and sales. The client is under no obligation to purchase or sell securities on a commissionable basis. In addition, he may receive other compensation such as mutual fund or money market 12b-1 fees and variable annuity trails. The potential for receipt of commissions and other compensation gives an incentive to recommend investment products based on the compensation received, rather than on the client's needs. To address this, disclosure is made to the client at the time a brokerage account is opened through NES, identifying the nature of the transaction or relationship, the role to be played by NES and Mr. Willers, and any compensation (e.g., commissions, 12b-1 fees) to be paid by the client and/or received by the registered representative. 3. Mr. Willers conducts advisory services through NewEdge Advisors, LLC, a registered investment advisor, doing business as (DBA) Sioux Falls Advisors. Mr. Willers is an investment advisor representative and devotes 160 hours per month to this activity during trading hours. - Investment Related. 4. Mr. Willers is a licensed insurance agent/broker. He may offer insurance products and receive customary fees as a result of insurance sales. A conflict of interest may arise as these insurance sales may create an incentive to recommend products based on the compensation earned. To mitigate this potential conflict, Mr. Willers, as a fiduciary, will act in the client's best interest. 5.Lincoln National Life Insurnace*Fort Wayne, IN *Yes Invest*Fixed Life Insurance business with Lincoln National Life Insurance*5/19/25*Financial Advisor*Licensed life insurance producer*1 hour 6.John Hancock Life Insurance*Boston, MA *Yes Invest*Life insurance producer*5/19/25*Financial Advisor*Servicing agent on an existing life insurance policy*1 Hour 7. Pacific Life Insurance Company*Yes Invest*Newport Beach CA *Life insurance company*11/6/25*Senior Wealth Advisor*Financial Advisor*1 Hr trade/4 Non trade 8. Sioux Falls Advisors DBA*Yes Invest*Sioux Falls, SD *Financial Services*1/30/25*Senior Wealth Advisor*Financial Advisor*50 Hr trade/10 non trade

Exams

• S65 Uniform Investment Adviser Law Examination
  2011-06-03
• S63 Uniform Securities Agent State Law Examination
  2009-11-13

Other Names

• James Patrick Willers
• James Patrick Patrick Willers