Best Investors Account Sign in

James Michael Winn

Ubs Financial Services Inc.

Peabody, MA

Claim This Profile
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

Other Firms

LPL FINANCIAL LLC
FINANCIAL TRANSPARENCY
BROTCHIE CAPITAL MANAGEMENT, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
REGAL INVESTMENT ADVISORS LLC
ROCKY HILL ADVISORS INC.
MONEY CONCEPTS CAPITAL CORP
BUTTERWORTH FINANCIAL LLC

Other Investors

MARION BLATSOS GILMAN
MARC STUART FREEDMAN
CHRISTIAN MICHAEL KARCHER
Tanya Pramod
DANIEL WILLIAM DOHERTY
ALEX KIMBALL CASE
M. PATRICK BROWN
HAROLD FREDERICK TONEY

Other Offices

LPL FINANCIAL LLC · PEABODY, MA
LPL FINANCIAL LLC · PEABODY, MA
FINANCIAL TRANSPARENCY · Peabody, MA
BROTCHIE CAPITAL MANAGEMENT, LLC · PEABODY, MA
AMERIPRISE FINANCIAL SERVICES, LLC · Peabody, MA
REGAL INVESTMENT ADVISORS LLC · Peabody, MA
ROCKY HILL ADVISORS INC. · PEABODY, MA
MONEY CONCEPTS CAPITAL CORP · PEABODY, MA

More in Peabody, MA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor