Best Investors Account Sign in

James Broyd

Ubs Financial Services Inc.

Atlanta, GA

Atlanta, GA

CRD 5821525

Claim This Profile
Employer firm

Ubs Financial Services Inc. CRD 8174

$916B regulatory AUM 18,245 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-05-13
GA RA APPROVED 2011-11-23
  • TX RA
    APPROVED_RES
    Since 2024-05-13
  • GA RA
    APPROVED
    Since 2011-11-23

Branch Locations

3560 Lenox Road Ne Suite 2800, Atlanta, GA 30326 • United States

Atlanta, GA • 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. Atlanta GA 05/2011 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-11-21
  • S66 Uniform Combined State Law Examination
    2011-11-21
Other Names
  • James Bernard Spencer Broyd

View on SEC IAPD

Nearby Firms

LIQUID STRATEGIES, LLC
HB WEALTH
BISON WEALTH, LLC

Nearby Investors

PARIMAL H PATEL
CLAYTON SHAWN GIBSON
FRANK THOMAS WATERSON

Nearby Offices

LIQUID STRATEGIES, LLC · ATLANTA, GA
HB WEALTH · ATLANTA, GA
BISON WEALTH, LLC · ATLANTA, GA

More in Atlanta, GA

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor