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James Francis Peasley

Ubs Financial Services Inc.

San Diego, CA

San Diego, CA

Ramona, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2008-12-23
TX RA APPROVED 2008-12-22
  • CA RA
    APPROVED
    Since 2008-12-23
  • TX RA
    APPROVED
    Since 2008-12-22

Branch Locations

600 West Broadway Suite 2100, San Diego, CA 92101 • United States

17180 Bernardo Center Drive Suite 100, San Diego, CA 92128 • United States

Ramona, CA • 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 San Diego CA 12/2008 Present
Previous Registrations
  • 2007-04-02 → 2008-12-15
    Morgan Stanley & Co. Llc
    San Diego, CA
    La Mesa, CA
  • 2006-08-03 → 2007-04-02
    Morgan Stanley Dw Inc.
    La Mesa, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-07-20
  • S66 Uniform Combined State Law Examination
    2006-07-20
Other Names
  • James F Peasley Ii

View on SEC IAPD

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Other Offices

CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
RBC CAPITAL MARKETS, LLC · SAN DIEGO, CA
CETERA INVESTMENT MANAGEMENT LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA
CETERA INVESTMENT ADVISERS LLC · SAN DIEGO, CA

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