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James Michael Winn

Ubs Financial Services Inc.

Peabody, MA

CRD 6195842

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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 2021-08-16
RI RA APPROVED 2018-08-30
  • TX RA
    APPROVED_RES
    Since 2021-08-16
  • RI RA
    APPROVED
    Since 2018-08-30

Branch Locations

8 Essex Center Drive 2Nd Floor, Peabody, MA 01960 • 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. Boston MA 06/2018 Present
Unemployed Medford MA 04/2018 06/2018
Ernst & Young Llp Boston MA 01/2014 04/2018
  • 06/2018 → Present
    Ubs Financial Services Inc.
    Boston, MA
  • 04/2018 → 06/2018
    Unemployed
    Medford, MA
  • 01/2014 → 04/2018
    Ernst & Young Llp
    Boston, MA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-08-28
  • S66 Uniform Combined State Law Examination
    2018-08-28
Other Names
  • James M Winn

View on SEC IAPD

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