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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 2025-07-14
LA RA APPROVED 2023-06-26
NV RA APPROVED 2023-06-26
PA RA APPROVED 2023-06-22
AL RA APPROVED 2023-06-21
NJ RA APPROVED 2023-06-21
NY RA APPROVED 2023-06-21
NC RA APPROVED 2023-06-21
FL RA APPROVED 2023-03-06
  • TX RA
    APPROVED_RES
    Since 2025-07-14
  • LA RA
    APPROVED
    Since 2023-06-26
  • NV RA
    APPROVED
    Since 2023-06-26
  • PA RA
    APPROVED
    Since 2023-06-22
  • AL RA
    APPROVED
    Since 2023-06-21
  • NJ RA
    APPROVED
    Since 2023-06-21
  • NY RA
    APPROVED
    Since 2023-06-21
  • NC RA
    APPROVED
    Since 2023-06-21
  • FL RA
    APPROVED
    Since 2023-03-06

Branch Locations

1819 Main Street Suite 900, Sarasota, FL 34236 • 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
Merrill Lynch Sarasota FL 10/2010 02/2023
Bank Of America, N.A. Sarasota FL 07/2011 02/2023
Ubs Financial Services Sarasota FL 02/2023 Present
  • 10/2010 → 02/2023
    Merrill Lynch
    Sarasota, FL
  • 07/2011 → 02/2023
    Bank Of America, N.A.
    Sarasota, FL
  • 02/2023 → Present
    Ubs Financial Services
    Sarasota, FL
Previous Registrations
Other Businesses

1) Name of Business: All Faith's Food Bank./ Address: 8171 Blaikie Ct. Sarasota United States 34240./ Investment Related: No./ Nature: Food Bank./ Role: Member of Board of directors./ Duty: Board Member and Governance Chair./ Start Date: 1/3/2024./ Time Required: Yes.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-01-13
  • S66 Uniform Combined State Law Examination
    2011-01-13
Other Names
  • James Barton Lowther
  • James Lowther
  • Barton Lowther

View on SEC IAPD

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